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Financial Advisor
November 2003
Marla Brill |
Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.   |
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. |
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. |
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.
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. |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
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.
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. |
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? |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Financial Advisor
May 2005
Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
Registered Rep.
August 3, 2004
John Churchill |
The Beginning of Reconstruction Advisors at firms involved in the settlement with the SEC are required to give clients access to research from three different independent providers. What impact will this have on investors and the reputations of advisors? |
Financial Advisor
May 2012
Karen DeMasters |
Advisors Often Work Against Clients' Interests, Study Says Financial advisors often work against their clients' interests if it means earning more in fees, according to a recent study by the National Bureau of Economic Research. |
Registered Rep.
September 1, 2005
Stan Luxenberg |
Gray Matter 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 matter is getting murkier. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
On Wall Street
May 1, 2010
Lauren Barack |
Courts Say You Can Charge Higher Fees, But It Still May Not Be Wise The U.S. Supreme Court's recent decision says that while advisors can basically charge what they believe their services are worth, mutual fund investors can demand more clarity from their advisors as to why they may pay more than an institutional investor. |
On Wall Street
July 1, 2010
Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate. |
Registered Rep.
June 1, 2004
Kevin McKinley |
Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way. |
BusinessWeek
December 1, 2003
Borrus & Dwyer |
The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry. |
Registered Rep.
October 1, 2004
Will Leitch |
RIAs Kickin' Back Three registered investment advisors were accused by the SEC of accepting cash payments from TD Waterhouse in return for putting client assets with Waterhouse. |
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. |
Financial Advisor
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers? |
Financial Advisor
July 2004
Tracey Longo |
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors. |
Registered Rep.
January 1, 2007
Stan Luxenberg |
No Redemption After discovering the fund market-timing scandals in 2003, regulators suggested boosting redemption fees. But lately, fee proponents have been losing their enthusiasm. The SEC decided not to make the fees mandatory. |
Wall Street & Technology
June 4, 2004
Jessica Pallay |
Fund Fixes Mutual funds are taking action to prepare for potential regulations on market timing, but there aren't any easy answers. |
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? |
Investment Advisor
July 1, 2011
Bob Clark |
If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
Financial Advisor
November 2010 |
Frontline News Transparency comes to 401(k) fees... RIA to expand by offering advisors ownership stake... States getting ready for advisor oversight... Advising celebrities can be more pain than pizazz... Aspiriant buys Deloitte Investment Advisors... |
Financial Advisor
March 2005
Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
Financial Planning
June 1, 2008
Bob Veres |
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. |
The Motley Fool
August 13, 2007
Dan Caplinger |
Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Financial Planning
July 1, 2010
Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
Financial Advisor
September 2010 |
Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more... |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Financial Advisor
March 2004
Tracey Longo |
Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off? |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
Registered Rep.
November 1, 2004
Anne Field |
Gunning for College As more investors put their faith in 529 plans, the stakes rise for those who are supposed to be protecting them, and agencies like the NASD and the SEC have jumped into the fray with gusto. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Financial Planning
April 1, 2008
Bob Veres |
The Myths of Our Age These days, the planning profession seems to be caught in a web of myths and half-truths, which make it difficult for us to talk about a lot of issues. Here are some common myths regarding the financial planning industry. |
Financial Advisor
May 2008
Marla Brill |
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance. |
Registered Rep.
February 27, 2004
David A. Gaffen |
Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
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.
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. |
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. |
