Results for "mutual funds"

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SEC calls out conflicts of interest in TDFs

November 7, 2019

The Securities and Exchange Commission took aim at conflicts of interest in target-date funds on Thursday, calling out a fund structure that holds the majority of 401(k) investors' assets. The agency's Office of Compliance Inspections and Examinations...

Goldman joins retreat from Fisher's firm

October 25, 2019

Goldman Sachs Group Inc. is joining the exodus from Ken Fisher's firm. The Wall Street bank said Friday in a regulatory filing that it will be dropping Fisher Asset Management as the underlying manager of Goldman Sachs Multi-Manager Global Equity...

SEC official pushes back against criticism of share-class crackdown

October 23, 2019

A Securities and Exchange Commission official said Wednesday he doesn't understand why the agency is catching flak from some in the financial industry over its crackdown on inadequate disclosure of mutual fund fees. For more than a year, the...

Uncovering yield in emerging markets not for the faint of heart

October 18, 2019

Katherine Renfrew is the lead portfolio manager of the $530 million TIAA-CREF Emerging Markets Debt Fund (TEDNX), which has a five-star rating from Morningstar and has been a top percentile performer over the past 1-, 3-, and 5-year periods....

Michael Hasenstab fund loses $3 billion in a miserable quarter

October 16, 2019

Franklin Templeton's flagship Global Bond Fund lost $3 billion in the third quarter​ as two of its biggest investments soured. Total net assets in the fund managed by star investor Michael Hasenstab dropped from $33 billion to $30 billion...

SEC takes aim at second Cetera broker-dealer

October 15, 2019

On Friday, the Securities and Exchange Commission added Cetera Advisor Networks, a registered investment adviser and broker-dealer, as a defendant to an earlier lawsuit against Cetera Advisors. The August complaint alleged that Cetera Advisors...

Commonwealth Financial fires back at SEC charges of conflicts of interest

October 3, 2019

Commonwealth Financial Network earlier this week shot back at charges from the SEC that it failed to disclose material conflicts of interest related to revenue-sharing. Commonwealth Financial's clients were not deceived by any fee payments or...

HSA fees drop, investment design shows improvement

October 1, 2019

Investment funds in health savings accounts have improved substantially over the past few years on several fronts, including fund options, quality and fees, according to a new report from Morningstar Inc. "You've seen definite improvements,"...

Taxes are one thing – not the 'only' thing

September 27, 2019

Tax Day has come and gone. As advisers to high-net-worth individuals and families, tax planning is a year-round priority. HNW clients have wide-ranging objectives that include everything from transferring large amounts of money to younger generations,...

Big capital-gains tax hit on horizon for mutual fund investors

September 25, 2019

Some investors in actively managed mutual funds can expect to incur big capital-gains tax bills this year, as continued outflows and lofty returns combine to stymie those holding funds in taxable accounts. Assets have continued to bleed out...

Ariel's Mellody Hobson says women, minorities should 'speak their truth' instead of trying to blend in

September 19, 2019

In July, Mellody Hobson was promoted to co-chief executive officer of Ariel Investments in Chicago, a company she initially joined as a college intern in 1989 and has served as president since 2000. Ms. Hobson, 50, takes seriously her status...

BlackRock, Vanguard accused of opposing shareholder efforts on climate

September 17, 2019

BlackRock and the Vanguard Group, the two largest asset managers, are falling short as shareholders in combating the risks of climate change, according to nonprofit group Majority Action. The group examined the proxy voting of 25 of the top...

The chief ETF cost that advisors often overlook

September 16, 2019

If there is one hallmark of exchange traded funds most advisors agree on, it's the investment vehicle's low cost. That cost is typically measured by an ETF's expense ratio, a number that has become the de facto ETF yardstick. In fact, many advisors...

Cetera Advisors charged with defrauding clients

August 30, 2019

The Securities and Exchange Commission charged Cetera Advisors Thursday with breaching its fiduciary duty and defrauding its retail advisory clients in connection with the sales of mutual funds, earning more than $10 million to which it was...

Finra fines former Morgan Stanley rep for impersonating a client

August 20, 2019

The Financial Industry Regulatory Authority Inc. has fined former Morgan Stanley broker John Tillotson $5,000 and suspended him for 15 days for impersonating five clients in five phone calls to a mutual fund company so that he could transfer...

Cost to play bigger role in investment recommendations

August 19, 2019

Cost will soon play a more important role in the investment recommendations brokers make to clients. The Securities and Exchange Commission, as part of its recent overhaul of investment-advice standards for brokers and financial advisers, explicitly...

Veteran small-cap manager navigates market cycles with a basic philosophy

August 7, 2019

Over the 18 years Robert Bergson has managed the Northern Small Cap Value Fund (NOSGX), he has navigated through just about every kind of market condition, which is probably why he's able to stay so calm during the current state of the financial...

Top 50 equity mutual funds, second quarter 2019

July 20, 2019

Ranked by quarterly returns Name/ticker 3-month return 1-year return 3-year annualized return Portfolio net assets ($M) Expense ratio* 1 Kinetics Internet Fund;No Load (WWWFX) 21.92% 18.16% 19.14% $138.70 1.84% 2 OCM Gold Fund;Investor (OCMGX)...

Fidelity adds low-cost funds, stepping up fee war

July 16, 2019

Fidelity Investments is stepping up its rivalry with Vanguard Group by launching five new index mutual funds with expense ratios it says are lower than the equivalent products at its competitor. Tuesday, Fidelity, which has $2.8 trillion under...

Ariel Investments promotes Mellody Hobson to co-CEO

July 11, 2019

Ariel Investments, the nation's largest African-American-owned asset management firm, has expanded the role of company president Mellody Hobson by promoting her to co-chief executive officer. The $13 billion Chicago-based money manager, which...

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