ICI Welcomes New SEC Rules on Funds, Asset Managers
“Any risks that may arise in asset management are best addressed by the SEC,” says ICI's Paul Schott Stevens.
5 Things Senior Clients Wish Their Advisors Knew
More than 200 seniors responded to a survey by LifeHealthPro about their likes, needs, financial concerns, career outlook and asset base.
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’
During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
T3 Conference: Estate Planning for Digital Assets to Take Center Stage
What if a client’s important information is all online and password protected? What happens if they die unexpectedly?
Steady Returns for a Wealth of Investment Strategies
I’s been a year of contrasts in the U.S. energy business.
Still Trying to Get the Word Out
We talked with The Hartford a bit ago about its Hartford Lifetime Income (HLI) fixed annuity, which is available only through 401(k) plans.
Fund Managers on MLPs, Returns & Opportunities: Weekend Interview
Five fund managers discuss trends affecting master limited partnerships and the role MLPs play in investor portfolios.