Crash Tests, Clairvoyants and Risk Managers
This blog entry is published in the Financial Advisor Magazine Expert Views Risk management is all about finding the suitable risk/return profile. Suitable, that is, to the holder of the...Read More
How Will AI Transform Financial Services?
As new technologies reconfigure the financial landscape, most clients believe AI will help, not hinder, advisors in their business.
New Rules Proposed by SEC Are Confusing!
Late last year, the Securities and Exchange Commission proposed four rules that focus on increasing competition for equity orders. One would require open auctions for certain orders. Another, Regulation Best Execution, would set a standard for broker-dealers and other market participants, and require policies and procedures on finding the most favorable price points for customers.
Advisor Custody Expansion
The Securities and Exchange Commission is considering expanding regulatory oversight to cover all assets in a client's portfolio, not just securities and funds.
Ways to Avoid Disclosure Violations
With the growing number of items that compliance teams must monitor, including both firm and representative disclosures, tracking regulatory compliance disclosures has become even more complicated than it used to be.
Participant Education is King
401K plans are perhaps the most popular retirement savings options for employees & employers in the United States. So it is imperative for plan advisors and sponsors to educate plan participants to avoid litigation and ensure compliance with ERISA, DOL, and other statutory regulations.
Leveraging Technology To Ensure Compliance And Manage Risk In A Volatile Market
RiXtrema’s original software was a portfolio risk management system focused on stress testing.
The SECURE ACT 2.0 Is Now Law
After some concerns it would not get passed in time, but with no ‘controversy on substance’, the SECURE ACT 2.0 is now law.
FTX COLLAPSE: Risk Management Lessons to Save Your Money
The FTX collapse is a cautionary tale of many things, greed and hubris among them of course, but also a failure to really appreciate the importance of risk management. Many unsophisticated investors wonder why you would need to bother with complex models, when you can simply invest in an index fund or base your strategy on financial press hype.
In Troubled Times Get Back to 401(k) Basics
As inflation continues to soar more people are cutting back on their retirement savings. Moreover, many are even afraid to check their 401K and long-term saving plan balance amid the inflation and contracting growth.