Five Must-Read Fund Items

A quick look at mutual fund news from around the web that every advisor should be following.

More On Legal & Compliance

from The Advisor's Professional Library
  • Risk-Based Oversight of Investment Advisors Even if the SEC had a larger budget and more resources, it is doubtful that the Commission would have the resources to regularly examine all RIAs. Therefore, the SEC is likely to continue relying on risk-based oversight to fulfill its mission of protecting investors.
  • Code of Ethics Rule The Code of Ethics Rule, found in Rule 204A-1, uses severe consequences for violation to help ensure investment advisors will do the right thing.  

SEC Issues Worthless Warnings on Fund Performance Ads

Forbes.com writer Ahmed Taha analyzes the SEC's warnings to investors about not using a fund's past performance to predict future performance.

Active Management: Is It Time?

WealthManagerWeb.com writer J. Gibson Watson III shares points in favor of active portfolio management.

The Rise Of The Hedged Mutual Fund

Marc L. Ross, CFA, CFP, shares an introduction to hedged mutual funds at Investorpedia.com.

A Brief History of the Mutual Fund

James E. McWhinney offers an excellent summary of mutual funds' emergence and development.

In Pictures: 11 Faith-Based Mutual Funds and ETF Families

Forbes.com gives a great overview of this new development in an unusual format.

Reprints Discuss this story

Most Recent Videos

Video Library ››