Investment Advisor-August 2013

Issue Gallery ›

  • Advisors Struggle to Understand ETF Liquidity and Trading

    Joyce Hanson

    When it comes to knowing how exchange-traded funds work, ETF sponsors report that financial advisors have the hardest time understanding liquidity and trading, according to research released in July by Cerulli Associates.

  • RIAs’ Top Compliance Goal: Social Media Policies


    Advisors are honing their social-media savvy, with nearly 83% of firms adopting formal social media policies this yearup from 64% in 2011 and nearly double the 43% of advisors who had such policies in 2010, according to a recently released compliance survey by the Investment Adviser Association, ACA Compliance Group...

  • Facial Recognition

    John Sullivan

    To see what is in front of ones nose needs a constant struggle. George Orwell

  • Is India Turning a Corner?

    Virginie Maisonneuve

    Only three years ago, India was shaking off the effects of the global financial crisis better than most, but today India is going through a surprise soft patch that cannot be blamed purely on externalities.

  • Growing Strong: The 2012 Growth by Design Study

    Eliza De Pardo, Dan Inveen

    The daily vitamins that are best for a child to take in order to achieve healthy growth are different from what a young adult or senior citizen requires. As the years progress, so do our dietary needsFlintstones vitamins make way for Centrum Silver.

  • The Weakest Link

    Marlene Y. Satter

    While its hardly news that businesses are exposed to reputation and liability risk through suppliers, the factory collapse in Bangladesh in April has upped the ante considerably.

  • An Ultra-Strong Case for Ultra-Short Funds

    John Sullivan

    Its been a tough road in the ultra-short mutual fund space. The category blew up in 2008 along with everything else, and yields proved little better than money market funds in the recovery that followed.

  • Fiduciary Stumbling Blocks Surface

    Melanie Waddell

    Several potential stumbling blocks have surfaced in the past couple of months that could stymieor outright derailrelease of fiduciary rules by the SEC and DOL.

  • Compliance Matters

    Melanie Waddell

    Several notable compliance-related measures have been approvedor tabledby the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors and brokers radar.

  • Brave New (Client) World

    Olivia Mellan

    While many advisors are growing their businesses today, they risk missing out on tomorrows growth by neglecting audiences beyond the traditional affluent white male client.

  • The Cost of a Fiduciary Standard


    A uniform fiduciary standard implemented by the Securities and Exchange Commission would cost brokers a total of $8 million in new compliance costs: $3 million to update their up-front disclosure documents and another $5 million for the initial build-out of compliance systems and training, according to the Securities Industry and...

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