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Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.
March 13
Alaric Compliance Services -
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An industrywide study of the impact and implications of sexual harassment reveals striking implications for the modern workplace and a path forward.
March 12 -
An unprecedented, industrywide survey of sexual harassment in the professional workplace reveals industries with the highest prevalence of unwanted sexual behavior, the differences between large and small companies, and blind spots that may be preventing corrections. Fortunately, the data also lights a path forward.
March 12 -
From inappropriate touching to belittling comments, women advisors confront workplace environments that are far from welcoming.
March 12 -
Scratch beneath the surface, and there is a lingering feeling among many in the banking, payments and mortgage sectors that not only is harassment present, but it may actually be inevitable. Experts say institutions need to combat that mindset — or else.
March 12 -
Many workers in the technology departments across a range of industries describe behavior that may fall short of a legal definition of sexual harassment, but is still disturbing and could contribute to low employee morale and high turnover.
March 12 -
Men and women who work in accounting say there’s a low prevalence of sexual harassment in the profession; the numbers suggest otherwise.
March 12 -
Human resources professionals are looking to fight bad behavior driven by upper management.
March 12 -
Rapidly shifting economic conditions, a new tax law and fee pressure are among the challenges in the year ahead.
March 12 -
After five changes to my pricing model in five years, I finally had a strategy that I had shunned when I started.
March 11
Retirement Matters -
Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.
March 9 -
Data reported by the Investment Company Institute.
March 9 -
Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.
March 9
William O’Neil + Co. -
One fund’s strategy this week amounted to almost 48% of its average daily turnover during the past 90 days.
March 8 -
The firm launched an asset management unit to manage the product, providing access to the estimated $450 billion digital currency market.
March 7 -
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Asset managers already allocated $11 billion to developing new funds to comply with the requirement.
March 6 -
Following criticism for its faulty 2016 election algorithms, the firm appointed a new research director to collaborate with its quants and money managers.
March 5 -

















