Investment Advisor-February 2016

Issue Gallery ›

  • In a New Asia, No 1997 Replay

    Savita Iyer-Ahrestani

    Despite the clear opportunities the region offers, many investors and advisors, particularly in the U.S., are still leery of Asia and reluctant to invest there.

  • What You Need to Know About E-Signatures

    Dan Skiles

    In many respects, the successful adoption of electronic signatures (e-signatures) by advisors has more hurdles than any other technology now commonly used.

  • A Skewed Weltanschauung

    James J. Green

    What's your world view? I don't mean your philosophical or political view, but literally: When you consider our world, what lies at its center?

  • To Dig Deeper

    Stephen Wendel

    Please see these research articles for more information on behavioral finance.

  • Advisors in Pursuit of Happiness

    Olivia Mellan, Sherry Christie

    Advisors' happiness, or lack thereof, affects the level of comfort and trust felt by clients, and by colleagues, staff and others they deal with.

  • DOL Fiduciary Rule Could Arrive by April

    Melanie Waddell

    While DOL was putting finishing touches on its rule to retool the definition of fiduciary under ERISA, regulators for BD and advisory industries unleashed their exam priorities for the new year.

  • Is Your Advertising Prohibited?

    Thomas D. Giachetti

    Under Rule 206(4)-1(a)(1) of the Investment Advisers Act of 1940, advisors may not use client testimonials, directly or indirectly, in their advertising.

  • Vietnam’s New Opportunities for Investors

    Savita Iyer-Ahrestani

    Vietnam in 2016 is a far cry from the war-weary, Communist nation that many Americans, including advisors and their clients, still believe it to be.

  • Retirement Plans Will Be ‘Next Evolution’ in ESG Investing

    Danielle Andrus

    The next push in ESG investing will come from retirement advisors following the Department of Labor's new interpretive bulletin that replaced language warning fiduciaries away from such investments in 2008, according to Gregg Sgambati, head of ESG solutions for S-Network Global Indexes.

  • Is FINRA the Fox Guarding the Henhouse?

    Bob Clark

    As Ive written before, I have a grudging respect for the securities industry and its self-regulatory organization, FINRA: If he were alive today, Lex Luthor couldn't do it any better.

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