Research Magazine-July 2016

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  • State Goes After BDs, ‘Rogue Brokers’

    Janet Levaux

    The Massachusetts Securities Division says it is conducting a sweep of state-registered broker-dealers with an above average number of representatives with current misconduct reports on their record to learn details of the firms hiring policies and procedures.

  • Morningstar Strikes Deal

    Janet Levaux

    Morningstar says it has bought InvestSoft Technology, which offers fixed-income analytics. According to the Chicago-based research firm, InvestSoft helps investment firms analyze fixed-income securities and portfolios. Its BondPro Fixed-Income Calculation Engine can make more than 130 analytic and accounting calculations.

  • Use of Alts, Smart Beta Up

    Janet Levaux

    Increasing market volatility prompted financial advisors to shift client portfolios away from stocks in the first quarter toward bonds and alternative assets, Natixis Global Asset Management reported recently. The average moderate-risk portfolio in the report gained 0.6% in the first quarter. However, portfolios with greater diversification fared best.

  • UBS Announces Major Changes

    Janet Levaux

    In order to help raise pay for top advisors and support retention, the group says, it will reduce advisor recruiting by 40%.

  • Morgan Stanley to Launch ETFs

    Janet Levaux

    With ETF assets on a tear, Morgan Stanley has filed the paperwork to introduce its line of own exchange-traded products. It put in two applications for its first passive and active ETFs with the SEC in early-June. The firm declined to comment on the matter and to share any timeline...

  • The Constancy of Change

    Janet Levaux

    Advisors and their clients are doing more and more work online, as are the publications that support them. It simply makes good sense for business.

  • Raymond James’ Global News

    Janet Levaux

    Raymond James says its Canadian operations are buying the independent investment firm 3Macs, which should add 72 advisors with about $5 billion of assets to its business. Raymond James Canadian unit now includes over 1,000 people; it has 370-plus advisors (both independent and employee reps) and portfolio managers working in...

  • A Glimpse of the Future of Annuities

    Scott Stolz

    Lower commissions and the continued decline of VAs are among the likely effects of the DOL fiduciary rule and other market forces.

  • 4 Sales Mistakes to Avoid

    Bill Good

    Advisors who correct their behavior now should soon see a difference in their business results.

  • Retirement Plan Trends in Focus

    Janet Levaux

    The number of individuals participating in retirement plans with Vanguard continues to expand, growing to 3.9 million in 2015 from 3.6 million in 2014. But the average and median level of balances weakened last year, according to the fund company, as the median savings (or deferral) rate fell and the...

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