Updated Thursday, July 31, 2014 as of 3:25 AM ET
'Smart Beta' Testing
“Smart beta” ETFs are set to upend traditional asset management, attracting assets from both active managers and passive indexes.
David Koenig, investment strategist at Russell Investments, which has created widely used smart beta indexes, explains: “Smart beta sits right in the middle of what has been considered beta and what has been considered alpha. Part of what had been attributed to manager skill can be accounted for by exposure to certain factors.” These include company size, stock price momentum and price to book value ratios that computers can efficiently discern.   more »
More in Alternative Investments
Deutsche Asset & Wealth Management, in partnership with CAIA, will now require its employees in its retail distribution arm to enroll in CAIA's fundamentals of alternative investment certification program. more »
After making recent waves with retail acquisitions, Nicholas Schorsch's RCS Capital Holdings is adding its first wholesaling broker-dealer to a growing portfolio. more »
Alternative investments are reaching a much broader swath of investors. As a result, financial advisors are increasingly bombarded with questions from curious clients. Early adopters are in a position to answer these queries, but for the uninitiated advisor -- it's time to get up to speed. more »
Alternative mutual funds will be examined by the SEC to assess whether managers are complying with leverage and liquidity rules. more »
Interest in alternatives is rising among investors as they look to manage volatility in their portfolios - and advisor education is critical to meeting that tidal wave of demand. more »
Of the 296 funds that picked up Lipper U.S. Fund Awards this year, only nine were peer-group winners for all of the eligible time periods. See the list here. more »
As it turns out, larger and smaller RIA firms face similar compliance challenges. more »
Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices. more »
FINRA found that LPL didn’t have a reasonable system in place to determine whether purchases of alternatives would cause a customer’s account to be unsuitably concentrated. more »
IMCA and CAIA are teaming up to fill in a knowledge gap about alternative investments, offering a new online education program that teaches the basics to the uninitiated. more »
RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts. more »
Vanguard Group, the third- largest U.S. provider of exchange-traded funds, has asked regulators for permission to open actively-managed ETFs. more »
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