Pioneer Launches Educational Program on Volatility, Income and Perspective
Pioneer Investments, a global investment firm with $198 billion in assets, announced an educational program that focuses on major planning issues advisors are facing.
Breach of Fiduciary Duty Most Common FINRA Complaint
While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.
Schwab to Buy Dividend Manager ThomasPartners for $85 Million
The deal includes additional payments depending on future growth in ThomasPartners’ assets under management, now worth $2.3 billion.
Top 5 Annuity Trends to Watch in 2012 and 2013
As the annuity industry deals with unprecedented challenges, advisors must keep abreast of product changes to help their clients make prudent decisions.
Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases
Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.
Can Behavioral Finance Stop a Financial Crisis?
As policymakers around the world continue to deal with the legacy of the 2008 crisis, some are considering incorporating elements of behavioral finance into their proposals as they look to strengthen systems for the future.
Alternatives Stay on Growth Path
Advisors, asset managers and institutions are increasingly turning to alternative investments to help clients boost returns while supporting the growth of assets under management.
Alternatives Growing in Portfolios as Markets Stumble
Nontraditional investments could grow to 10%-15% of mutual funds in 10 years, according to Cerulli.
Consider Scott Simon’s Modest Proposal to ‘Solve’ the Fiduciary Issue
Why shouldn’t an ERISA standard, the Morningstar Advisor columnist asks, be imposed on both RIAs and brokers?
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.