Trading Ahead Of Investment Policies and Procedures

In response to a request by a reporter, I examined some public documents relating to what appears to be unauthorized trading. As is the situation when only some information is available, it’s hard to tell whether said trades can be characterized as rogue, mistaken or deemed …

How to Sell Investment Services

As I understand, the term “consultative selling” was first used by author and sales expert Mack Hanan. The concept is simple. Know what your customer needs and offer them solutions to their problems. The process is a two-way street. Both buyer and provider are actively …

Fiduciary Training and Retirement Industry Designations

Fiduciary education is an important topic at any time but seems to be garnering further attention in recent months. Rumor has it that questions about training are being asked of in-house fiduciaries during U.S. Department of Labor audits. According to …

Dr. Susan Mangiero Recognized by CFA Institute for Commitment to Continuing Education

Dr. Susan Mangiero is recognized by the CFA Institute for her twenty-five consecutive years of continuing education in the investment management field. This includes an ongoing review of ethical and professional standards about fair dealing, suitability, reasonableness of fees, disclosure …

Risk Management and Dilbert Creator Scott Adam’s Simple Solution

Ignoring risk is folly, especially when the downside could be complete ruin for a business or investment portfolio. That’s why it’s essential for risk managers to persuade others to pay close attention to things that go bump in the night …

Investment Fraud and the Role of Trust

Investment fraud can happen to anyone, and unfortunately, there is no shortage of investment fraud possibilities. Affinity fraud, pyramid schemes, pump-and-dump security trading, high-return or risk-free investments, and pre-IPO scams are only a few of a long-list of schemes that …

Investment Committee Governance Benchmarking

If you missed the Strafford continuing legal education webinar on September 12, click here to download the slides about ERISA investment committee governance. The ninety minutes flew by, with each speaker having lots to say. Attorney Emily Seymour Costin addressed …