The Financial Industry Regulatory Authority cracked down on a number of issues in 2015, although perhaps the most common (and costly) for many firms was mutual fund overcharges. Here are the top 15 fines levied by FINRA, totaling $134.4 million.
Global warming is a threat to the economy, the DOL and SEC worked well together on fiduciary rule, a report finds that not all liquid alts use derivatives, and investor sentiment falls to new lows....More
Investors tend to look at portfolio risk in terms of geographic exposure or asset classes—but that's not always an accurate gauge. Taking a broader view of risk assessment can provide a better sense of how the portfolio will perform in volatile markets....More
When practitioners meet with clients who are near death, they're tasked with making valuable contributions to the client's estate plan within a limited time frame. Using a 20-point checklist, our speakers will outline how eleventh hour planning may help clients achieve favorable outcomes for their beneficiaries and avoid missing valuable opportunities....More
You'll discover the ways ETFs allow you to construct more nimble and unique portfolios for your clients, based on a sector approach to the market. Marc Chaikin, creator of Chaikin Money Flow, demonstrates how to find trends in equity sectors—and use ETFs to construct strong client portfolios....More
This complimentary webinar will explore the National Association of Estate Planners & Councils model for collaboration, as articulated in a recently released white paper, "High Performance Teaming and Professional Collaboration", and the 5 critical best practices our speakers have observed in teams who collaborate most effectively....More