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
  • Meeting and Exceeding Clients and Regulators’ Expectations Although it can be difficult, there are ways for RIAs to meet or exceed client expectations, increase customer satisfaction, and help firms retain current clients and attract new ones.
  • Pay-to-Play Rule Violating the pay-to-play rule can result in serious consequences, and RIAs should adopt robust policies and procedures to prevent and detect contributions made to influence the selection of the firm by a government entity.

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
This is where the comments go.