Investment Writing

NOVEMBER 20, 2024

They want to understand their investments without learning the definitions to unfamiliar words,” according to “ New Word Order ,” part of the Invesco White Paper Series ( highlights available online ). Next, consider ways to satisfy the compliance department’s concerns. It’s entertaining.

Compliance 52

Compliance Communication Assets Investing 52

Brown Advisory

JUNE 14, 2017

2 The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Brown Advisory

JUNE 14, 2017

The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

The Big Picture

JANUARY 21, 2025

It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. People definitely seem to be happier to give away money now. 01:04:39 [Speaker Changed] I think it was the Journal of Portfolio Management. That’s exactly right.

Investments 147

Investments Investing Management Retirement 147

Brown Advisory

SEPTEMBER 12, 2016

I also reflected on the confusing nature of this area with constantly changing word definitions, potentially conflicting investment goals and emotionally charged concerns often colliding with unintended results. We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

I also reflected on the confusing nature of this area with constantly changing word definitions, potentially conflicting investment goals and emotionally charged concerns often colliding with unintended results. We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas.

Portfolio 52

Portfolio Clients Investing Investments 52

The Big Picture

MAY 23, 2023

So, GOG, discretionary portfolio management. Let’s round it up to 145 as much as my compliance people hate when I do that. Uh, how do you reconcile these different data points or is it all in the framing and the definition of what ESG is or, what diversity and inclusion means? Definitely. billion in assets.

Clients 162

Clients Management Engineering Investing 162

Brown Advisory

AUGUST 14, 2023

Performance figures may vary from actual portfolio performance, as calculations are based on end-of-day security prices and do not incorporate the actual cost basis or sale price of individual securities. Please see the end of this letter for a GIPS Report, important disclosures and a complete list of terms and definitions.

Investing 52

Investing Investments Portfolio Accounting 52

Sara Grillo

FEBRUARY 13, 2023

ESG vocab Before we get into it, let’s start with some basic definitions: ESG: ESG stands for “Environmental, Social, and Governance” and it’s a style of investing that purports (but does not, in reality) save the world from its evils. So please subscribe! I am an irreverent and fun marketing consultant for financial advisors.

Investing 72

Investing Investments Clients Portfolio 72

The Big Picture

NOVEMBER 14, 2023

There are a few people in the world who are more knowledgeable about the management of asset managers and what it’s like to actually run a global organization and interact with lots of aspects of the business of finance, whether that’s acquisitions or compliance, or dealing with all the legalities of multi-jurisdictional regulations.

Math 130

Math Management Insurance Assets 130

The Big Picture

FEBRUARY 28, 2023

And I know there may not be any definitive answer. One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. What’s your theory here?

Investing 147

Investing Clients Investments Assets 147

Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. His name is Ken carbo and its Liberty Capital Management up in Birmingham. His clients’ net worth range from negative $300k to $100MM. CFA designation, correct.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

The Big Picture

MARCH 27, 2023

She was a partner and a portfolio manager at Canyon Capital, a firm that runs currently about $25 billion. The bonds aren’t worthless, but they’re definitely not trading at par. You have a lot — RITHOLTZ: The emerging manager category? The survival rate of an emerging manager is low. MIELLE: Huge.

Assets 285

Assets Investing Investments Management 285

The Big Picture

OCTOBER 5, 2024

The pandemic of course was, was difficult, but it definitely helped me grow a lot faster being in a big city like that. And then when I got to Capital Group, obviously I was under compliance, they were like, you really can’t be talking about stocks online. Yeah, 00:14:29 [Speaker Changed] I would, I would definitely say so.

Economy 162

Economy Education Insurance Economics 162

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

MARCH 21, 2023

I was a fixed income portfolio manager and trader, which is a ton of fun. PIMCO out on the West Coast, read the first thing I wrote in the Journal of Portfolio Management. It definitely does. And it’s really not a compliance reason, I hope it’s more of an intellectual honesty reason.

Valuation 173

Valuation Investing Investments Numbers 173

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? You were a portfolio manager, researcher head of trading, and apparently tech geek putting machines together. That there’s a definitely a network effect that happens there. And then how much longer was it before?

Management 147

Management Investing Investments Assets 147

The Big Picture

NOVEMBER 25, 2024

You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. Yeah, 00:10:11 [Speaker Changed] That’ll, that’ll definitely wake, 00:10:12 [Speaker Changed] Wake you the ice you up coffee. They had gone from nothing to 12 billion.

Portfolio 147

Portfolio Management Marketing Marketing 147

The Big Picture

MAY 21, 2024

So, so you’re, you’re definitely channeling a little Farrell. So we’re now in an environment where all the 45-year-old portfolio managers out there have been, have worked their entire careers in these momentum fueled markets, and they’ve been trained to believe that valuation doesn’t matter.

Numbers 147

Numbers Management Banking Marketing 147

The Big Picture

JUNE 3, 2024

I don’t have to read, you know, hundreds of pages of a novel, but very quickly I learned that you, you definitely have to read day in, day out. So, so definitely, you know, again, that’s just being young and naive as well. He was not a kid at the time too, but he definitely had gravitas around the firm. Yeah, yeah.

Math 147

Math Marketing Marketing Engineering 147