Compliance Data Analytics: Do as Regulators Say AND as They Do
Financial services firms should follow the lead of the SEC and FINRA and use more sophisticated technology tools to improve their compliance programs.
Clients Are Financially Savvy, and Other Myths
Reminders on why charging fees based on assets under management is by far the most client-centered form of advisor compensation.
Schwab Posts First Robo Results; Q2 Earnings Beat Estimates
The brokerage firm rolled out automated advice offerings for investors and advisors this year.
Why Institutional Investors Dominate the Liquid Alt Market
There are a lot of statistics showing investing trends among institutional investors, according to David Katz of Larch Lane Advisors, but tracking retail investors can be more difficult.
SEC to Scrutinize Retirement Advice
The SEC has launched a multiyear targeted review of investment advisors’ and BDs’ retirement planning sales practices.
The Diagnosis Is In: ‘Investor Hypochondria’
“The Investor Who Cried Risk” could be the title of today’s investor sentiment, Allianz Global Investors says.
SEC’s Stein Expects Fiduciary Rule, Sees ‘Cracks’ in Registered Funds
SEC Commissioner Stein voiced concern with “cracks” starting to appear in the Investment Company Act's foundation, particularly regarding bank loans, ETFs and alternative mutual funds.
Saudi Stock Market’s Opening Soured by Access Rules
It was a given that direct access to one of the most coveted bourses in the world would be gradual.
SEC Seeks Comments on Listing, Trading of New, Complex ETFs
The agency has seen a big increase in requests to approve novel exchange-traded products and is concerned about effects on retail investors.
Top 15 Institutional ETF Holders
The common belief that ETFs are a retail instrument is a misconception, a Deutsche Bank report says.