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.
MSCI Defers China Inclusion, Opts to Work With Regulator
Issues over the addition of A-shares into the global benchmarks have not yet been fully resolved.
ETFs, ETPs Pass $3 Trillion Benchmark
Assets invested in globally listed exchange-traded funds and products set a new record of $3.02 trillion in May, according to ETFGI’s preliminary monthly global insight report.
SIFMA, FSR Propose ‘Uniform Best Interests’ Standards for BDs
SIFMA’s CEO, Ken Bentsen, says its legal standard would protect investors and avoid “separate and inconsistent” fiduciary policymaking at DOL and SEC.
FINRA Boosts Asset-Backed Securities Market’s Transparency
By Dec. 4, asset-backed securities transactions will be available to the public no later than 15 minutes after the trade is executed.
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
The new broker bonus plan “runs counter to the current industry debate” over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.