Brokers still trying to duck fiduciary duty

By |2018-12-20T20:25:05-08:00February 11th, 2017|Brokers, Fee Transparency, Fiduciary Duty Standards, Financial Institutions, Investment Advisor Rules, Money Management, TIA|

By Dr. Jonathan Tiemann, February 11, 2017 On Friday, February 3, 2017, a group of business leaders convened at the White House with the President, members of his family, and his ever-watchful Vice President, presumably to lobby for policies conducive to the profitability of their businesses. The financial markets advanced, as though relieved that the President had chosen to take [...]

SEC raises concerns on mutual fund fees

By |2018-12-20T20:31:07-08:00January 15th, 2016|Brokers, Fee Transparency, Mutual Funds, Securities & Exchange Commission, Shareholder Rights|

For many investors, mutual fund fees are among the largest hidden costs of investing. They can be confusing, too. Fund companies can charge investors a variety of fees, and according to this guidance from the U.S. Securities and Exchange Commission, some fund companies may not be characterizing their expenses correctly.  This should be a little alarming to those investors who [...]

Go to Top