The SEC finally steps into the ring for the Climate fight

By |2022-04-06T13:12:16-07:00March 25th, 2022|Banking, Business News, Carbon Emissions, Climate Change, Climate Disclosures, Corporate Actions, Cost of Carbon Emissions, Divestment from Fossil Fuels, Energy, Environmental Reporting, ESG Factors, Fiduciary Duty Standards, Financial Institutions, Fossil Fuel Free investing, Institutional Investors, Investment in the future, Money Management, Mutual Funds, Risk Reduction, Securities & Exchange Commission, Shareholder Rights|

SEC Issues Trailblazing Climate Disclosure Proposal At long last, after studying the issue for many years, the U.S. Securities and Exchange Commission has finally released its long-awaited proposal to require companies to disclose their climate risks to investors. These proposed rules (neatly summarized in a 506 page notice) will require all publicly traded companies to disclose both their greenhouse [...]

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Consideration of ESG factors can reduce risk and improve return

By |2020-07-30T17:32:08-07:00July 30th, 2020|Business News, Environmental Reporting, ESG Factors, Fiduciary Duty Standards, Financial Health, Labor Law, Money Management, Mutual Funds, Risk Reduction, TIA|

The DOL's proposed Rulemaking on "Financial Factors in Selecting Plan Investments" for ERISA plans is considering amendments to the “Investment duties” regulation under Title I of the Employee Retirement Income Security Act of 1974, as amended (ERISA), to confirm that ERISA requires plan fiduciaries (i.e. the investment advisors) to select investments and investment courses of action based solely on [...]

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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 [...]

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Finally, DOL requires Advisors to put client interests first

By |2018-12-20T20:30:17-08:00February 29th, 2016|Brokers, Business News, Fiduciary Duty Standards, Financial Health, Investment Advisor Rules, Money Management, Securities & Exchange Commission, TIA|

Today, I'm calling on the Department of Labor to update the rules and requirements that retirement advisors put the best interests of their clients above their own financial interests. It's a very simple principle: You want to give financial advice, you've got to put your client's interests first.           – President Barack Obama, February 23, 2015   We are thrilled [...]

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A Stock Pickers’ Market?

By |2018-12-20T20:35:24-08:00April 24th, 2015|Analysts, Financial Institutions, Money Management, TIA|

By Dr. Jonathan Tiemann Pity the poor hedge fund manager. The lead item in one of the many daily “news” emails I received today — this one from Chief Investment Officer magazine — reads, “Don’t Blame the Hedge Fund Managers.” [1] The burden of the item is that it isn’t the funds’ managers’ fault that they performed so badly during [...]

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