Can Advisors Have ‘Zero’ Conflicts of Interest? The Legal and Regulatory Record
The CFP Board’s director of investigations makes the case that there is no such thing as “zero” conflicts of interest and that the nature of “material” conflicts of interest is subject to change.
What’s Next for the Growth of ETFs?
Advisors are looking for finer slices of capital markets, as well as better beta and alternative weighting methodologies for gaining exposure to market segments.
Defined Maturity ETFs: Innovation in Fixed Income
Defined maturity ETFs combine the benefits of individual bonds, bond funds and traditional fixed-income ETFs.
Five Good Questions for Moshe Milevsky
From solving the annuity puzzle to figuring out the best role for GLWBs, the retirement-planning expert has some revealing insights
Investors Lack Basic Financial Literacy Skills: SEC Study
Retail investors—particularly minorities and the elderly—fail to understand concepts such as compound interest, inflation or the differences between stocks and bonds, according to a just-released study by the SEC and the Library of Congress.
Top Portfolio Products: Vanguard Files to Offer Short-Term TIPS Fund
New products introduced over the last week include a short-term TIPS fund from Vanguard and a managed futures fund from Longboard.
Portfolio Fix: MLPs and Positive Returns
Savvy financial advisors know that these days of high market volatility and low interest rates demand strategic thinking to help clients reap fruitful investment returns.
Smith-Goldman: A Poignant Case Study on the Fiduciary Debate
The duality of our regulations significantly contributes to a dangerous, often confusing state of affairs. Unless we restore trust, the system will rely on more regulations as a substitute.
Social Media: What Is It Good For?
Ignore the hype, suggests veteran advisor Jim Pierson, and focus on where social media fits into your overall strategic marketing plan. Better set up policies and procedures as well.
New Hire Roundup: Oliner, Kleinke Join AEI; Bozek Advances at Prudential
This week in new hires, Stephen Oliner and JD Kleinke went to AEI; Joan Bozek was promoted at Prudential Retirement; Steven McKay and Joseph Kaplan went to Putnam Investments.