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Financial Advisor
February 2004
Tracey Longo |
Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.   |
Knowledge@Wharton
September 24, 2003 |
Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years? |
BusinessWeek
September 22, 2003
Der Hovanesian et al. |
How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done. |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
Investment Advisor
November 2005
Melanie Waddell |
The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working? |
The Motley Fool
July 6, 2005
Tom Taulli |
Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations. |
Registered Rep.
November 3, 2003
Will Leitch |
Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds. |
HBS Working Knowledge
December 1, 2003 |
Is This the Twilight Era for the Managed Mutual Fund? What is the answer to allegedly poor mutual fund governance practices? Can mutual fund directors, often responsible for dozens of funds in a fund family, be expected to exercise adequate oversight? Or must practices be corrected through added regulation? Or is the problem deeper than this? |
BusinessWeek
November 10, 2003
Jeffrey M. Laderman |
Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers. |
Registered Rep.
April 1, 2006
Kristen French |
Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
BusinessWeek
November 10, 2003
Dwyer & Borrus |
The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules. |
Registered Rep.
April 1, 2006
Stan Luxenberg |
To Define a Theft For all the uncertainties, the SEC continues battling the mutual fund market-timing problem. After the scandal broke, the regulator promised tough moves to stop the questionable trading. But so far, the pace of change has been slow. |
Financial Advisor
January 2004
Evan Simonoff |
Editor's Note The violation of advisors' and investors' trust by mutual funds is going to take a long time to heal. And I know many advisors who are asking themselves, if fund companies did this to us, what else might they do to clip clients? |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
BusinessWeek
June 26, 2006
Lauren Young |
Mutual Funds: Back In Action Sure, the markets are jittery, but mutual funds are doing a better job for investors since the dot-com smashup. Long-term returns are up, fees are down, and, despite ETFs and hedge funds, money is rolling in. |
CIO
July 1, 2004
Elana Varon |
Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain. |
The Motley Fool
March 22, 2004
Shannon Zimmerman |
Spitzer Rides Again Chalk another one up to General Eliot Spitzer and his war on bad funds. |
Financial Planning
October 1, 2010
Donald Jay Korn |
A Bigger Slice Of all the challenges that the fund industry has faced and still faces, a stagnant stock market may be the most serious. |
BusinessWeek
November 17, 2003
Borrus & Dwyer |
Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry. |
Registered Rep.
June 25, 2004
David A. Gaffen |
Advisor Concern and Heated Exchanges at Morningstar Conference While most advisors interviewed at the conference were hopeful that they could weather the recent spate of mutual fund-related scandals, it doesn't mean that they, or their clients, are happy about recent events. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
Registered Rep.
December 2, 2003
Will Leitch |
Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear. |
Registered Rep.
August 8, 2005
Stan Luxenberg |
CIBC and the Murky Waters of Mutual Fund Enforcement When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. Now, two years into the legal actions, the saga has begun to appear murkier. |
HBS Working Knowledge
December 8, 2003 |
Readers Respond: Is This the Twilight Era for the Managed Mutual Fund? I am skeptical of the ability of fund managers to consistently beat the market... I believe that we have probably seen the beginning of the decline of the actively managed mutual fund... The mutual fund scandal will shift public trust towards index funds... etc. |
Registered Rep.
May 3, 2007
Kevin Burke |
Fund Shareholders to Advisors: We Need Ya', Big Guy If you are among the mutual-fund only caste of advisors, don't lose heart: Investors really do need your advice. |
Financial Advisor
November 2003
Harold Evensky |
Better Late Than Never Action regarding mutual fund abuses should have come sooner. |
CFO
December 1, 2003
Linda Corman |
Subject to Failure Recent scandals in the mutual-fund industry leave employers questioning the security of their plans. |
Registered Rep.
August 1, 2004
Will Leitch |
The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go. |
Registered Rep.
July 25, 2007
Kevin Burke |
Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again. |
Registered Rep.
April 1, 2005
Stan Luxenberg |
A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest. |
Investment Advisor
December 2005
Kathleen M. McBride |
Hybrid Vehicles? Mutual funds have brought Main Street into investing and been the lifeblood of most advisors' practices. In the future, will there be a better way to invest? |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
HBS Working Knowledge
December 15, 2003 |
Readers Respond: Is This the Twilight Era for the Managed Mutual Fund? Business leaders and managers who can't recognize public and investor trust as a fundamental requirement of their business should be fired or barred for life... As soon as I can beat the market on my own, I'm out of mutual funds... etc. |
Registered Rep.
May 18, 2004
John Churchill |
The Only Game in Town Survey shows a majority of investors still think mutual funds provide the best opportunity for a diversified portfolio, and many do not think the mutual fund improprieties are widespread across the industry. |
Entrepreneur
August 2004
Julie Monahan |
Payback Time Settlement dollars from the SEC crackdown on mutual fund malfeasance will reach millions. But will you get your fair share? |
BusinessWeek
March 8, 2004
Anne Tergesen |
Revealing Redemption Rates Worried that market timers are monkeying with your mutual fund? Here's one way to check for red flags |
Registered Rep.
May 1, 2004
Anne Field |
Et tu, 529 Plans Both the NASD and the SEC have revealed they are separately investigating yet another area within the financial services sector: 529 college savings plans. |
Financial Advisor
June 2004
Gary Schneider |
Fund Industry Being Forced In Wrong Direction In the aftermath of some of America's biggest scandals in the history of the mutual fund industry, proposed standards are wrongheaded and unnecessary. |
The Motley Fool
May 21, 2004
Paul Elliott |
Call That Strong Medicine? Richard Strong and Strong Capital Management settle with Spitzer over market timing of the Strong funds. Was the penalty harsh enough? |
Financial Advisor
June 2007 |
Investor Feeding Frenzy Predicted The demographic wave of baby boomers approaching retirement is likely to spawn a feeding frenzy of major proportions in the financial services business over the next 15 years. |
The Motley Fool
June 25, 2004
Tim Beyers |
Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management. |
The Motley Fool
September 8, 2004
Tim Beyers |
INVESCO Moves On The fund firm and partner AIM Investments agree to a $450 million settlement. |
The Motley Fool
April 6, 2004
Shannon Zimmerman |
Surviving the Fund Scandal Times are tough for fund investors, but they're about to get better. An unfolding mutual fund scandal is paving the way for serious reform. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
The Motley Fool
April 22, 2005
Selena Maranjian |
Not Your Father's Mutual Fund Funds have changed a lot -- and not for the better. Select carefully. |
Financial Advisor
June 2012
Jeff Schlegel |
Taking Flight More advisors are launching funds, but building assets isn't easy. |
Financial Advisor
July 2006
Tracey Longo |
Advisors In The Spotlight A recent Investment Company Institute conference reveals financial advisors are the top source of investors' fund purchases. |
Financial Planning
April 1, 2005 |
News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc. |
Financial Advisor
November 2003
Marla Brill |
A Constant Alternative Only recently available to individual investors, stable value funds boom. |
