Abnormal Returns

FEBRUARY 27, 2024

Research What factors matter for bond returns? klementoninvesting.substack.com) How to combine top-down and bottom-up aggregate earnings estimates. papers.ssrn.com) Private equity returns are but a guess until all capital is returned. wealthmanagement.com) Why biotech stocks are like lottery tickets.

Ethics 159

Ethics Retirement 159

Nerd's Eye View

JULY 31, 2024

This is especially the case with newly registered advisors or formerly state-registered advisors who recently became SEC-registered since they may be uncertain about how the examination process will work, what elements of the firm the SEC will dig into, or what information the advisor will need to provide to the examiners.

Compliance 186

Compliance Ethics Advertising Clients 186

Wealth Management

JULY 30, 2024

Ameriprise has filed a suit against LPL, claiming that the broker/dealer directs recruits to take client information and trade secrets when they leave the firm.

Clients 119

Clients Recruitment 119

Nerd's Eye View

FEBRUARY 21, 2024

In 2021, Congress passed the Corporate Transparency Act, which, for the first time, required small business entities such as LLCs and corporations to report identifying information on their "beneficial owners" (i.e., those who own at least 25% of, or who otherwise exercise substantial control over the business). Read More.

Insurance 194

Insurance Numbers Clients Business Planning 194

Abnormal Returns

FEBRUARY 22, 2023

Strategy Why short term is our default investment setting. behaviouralinvestment.com) There are a lot of different ways to define company quality. blog.validea.com) Crypto Even without new laws, the SEC pulling together regulation via enforcement action. coindesk.com) What Coinbase ($COIN) is facing with the SEC. makes sense.

Financial Advising 130

Financial Advising Retail Economy Banking 130

Alpha Architect

MARCH 10, 2023

<strong>Are Short Covering Trades Informative?</strong> If short sellers were inhibited from expressing their views on valuations, securities prices could become overvalued and excess capital would be allocated to those firms. <strong>Are </strong> was originally published at Alpha Architect.

Valuation 98

Valuation Financial Market Marketing Marketing 98

Alpha Architect

JULY 21, 2022

Short Sellers Are Informed Investors was originally published at Alpha Architect. The predictive power of shorts is stronger in countries with non-prohibitive short sale regulations and for stocks with relatively low liquidity, high shorting fees, and low price efficiency. Please read the Alpha Architect disclosures at your convenience.

Sales 113

Sales Marketing Marketing 113

Harness Wealth

OCTOBER 8, 2024

These include W-2s, 1099s, and other forms that reflect income, mortgage interest, and health insurance information. This article should not be considered tax or legal advice and is provided for informational purposes only. The post 2025 Tax Deadline Information for Individual Filers appeared first on Harness.

Taxes 52

Taxes Electronics Insurance Startup 52

Alpha Architect

FEBRUARY 10, 2023

Given that valuations provide information on equity returns, it should not be surprising to learn that valuation spreads provide information on future factor premiums. <strong>Factor <strong>Factor Returns and the Information in Valuation Spreads</strong> was originally published at Alpha Architect.

Valuation 109

Valuation Investments Investing 109

Alpha Architect

APRIL 10, 2023

This article studies whether index investing has implications for the informational efficiency of stock prices. Index Investing and the Informational Efficiency of Stock Prices was originally published at Alpha Architect. Please read the Alpha Architect disclosures at your convenience.

Investing 109

Investing Investments 109

Norman Marks

JUNE 24, 2024

This is going to be a longer post than normal, so please make sure you have the time to read and consider it. It includes not only a case study based on a real-life risk-based decision (as if some are not risk-based!), but also a discussion of a “model” for considering all the sources of […]

Compliance 52

Compliance Government 52

Inside Information

JULY 25, 2024

Why am I bombarding you with useless information? Of course, over the years, there have also been fewer relevant articles; my Media Reviews service started decades ago as a way to synthesize all the published information that advisors were too busy to read on their own. Summit is described as a $750 million team.

Fee Only 40

Fee Only Commission Recruitment Advertising 40

Wealth Management

OCTOBER 7, 2024

More data does not necessarily make for better advice.

Clients 115

Clients 115

Investing Caffeine

JULY 1, 2024

No information accessed through the Investing Caffeine (IC) website constitutes investment, financial, legal, tax or other advice nor is to be relied on in making an investment or other decision.

Economics 52

Economics Marketing Marketing Food 52

Wealth Management

JANUARY 3, 2024

Disclosure of beneficial owner information under the CTA is limited to six categories of recipients.

119

119

Trade Brains

MARCH 26, 2024

Written by Praneeth Kadagi By utilising the stock screener , stock heatmap , portfolio backtesting , and stock compare tool on the Trade Brains portal, investors gain access to comprehensive tools that enable them to identify the best stocks, also get updated with stock market news , and make well-informed investments.

Banking 59

Banking Marketing Marketing Portfolio 59

Alpha Architect

APRIL 17, 2023

How factor exposure changes over time: a study of Information Decay was originally published at Alpha Architect. But different factors decay at different rates and this affects how they should be rebalanced. For example, momentum needs to be rebalanced more than value. This study digs into these questions.

Investing 98

Investing Investments 98

Advisor Perspectives

JUNE 12, 2023

Short sellers are informed investors who play a valuable role in keeping market prices efficient – short selling leads to faster price discovery. Fund families that invest systematically have found ways to incorporate the research findings to improve returns.

Investing 52

Investing Investments Marketing Marketing 52

Don Connelly & Associates

SEPTEMBER 11, 2023

Living in the digital world, with its instantaneous access to information, has made us smarter and more empowered. In many ways, it has leveled the playing field for clients who now have access to much of the same information once only available to investment professionals.

Clients 52

Clients Numbers Investing Investments 52

Don Connelly & Associates

SEPTEMBER 11, 2023

Living in the digital world, with its instantaneous access to information, has made us smarter and more empowered. In many ways, it has leveled the playing field for clients who now have access to much of the same information once only available to investment professionals.

Clients 52

Clients Numbers Investing Investments 52

Trade Brains

MAY 7, 2024

Cryptography:- It is a method to secure information and communication from unauthorized access by the process of encryption. It also assures secure data, privacy and a glitch-free user interface for traders to make informed trades.

Education 59

Education Accounting Portfolio Marketing 59

Validea

MAY 15, 2023

The study, co-authored by Siew Hong Teoh from UCLA, Lin Peng of Baruch College, Yakun Wang from the Chinese University of Hong Kong, and Jiawen Yan, a student at Cornell University, found that male faces that are perceived as trustworthy receive more information and have more accurate forecasts than those with faces not considered to be dominant.

52

52

Indigo Marketing Agency

SEPTEMBER 6, 2022

We’re happy to announce that Indigo Marketing Agency was featured in Bob Veres’s August 2022 issue of Inside Information , a go-to resource for financial planning, financial advisor, and investment advisor professionals. The post Indigo Marketing Agency Featured in Bob Veres’s Inside Information appeared first on Indigo Marketing Agency.

Marketing 97

Marketing Marketing Financial Advisor Compliance 97

Advisor Perspectives

OCTOBER 16, 2024

As the Fed begins cutting rates, October’s surprisingly strong US employment report only adds to the data pointing to a soft landing, despite lingering concerns of a downturn. We expect the economic expansion to continue, which has important implications for multi-asset strategies.

Assets 52

Assets Investing Investments Economics 52

Norman Marks

APRIL 22, 2022

I have been involved in information security, either auditing it or being responsible for the function at a couple of financial institutions, for a very long time. To me, cyber is not separate from information security.

Compliance 74

Compliance Government 74

Norman Marks

MARCH 25, 2024

For 13th years, the Association of Certified Fraud Examiners (ACFE) has shared with us the results of their annual survey, with the latest being Occupational Fraud 2024: A Report to the Nations. I have been reading and commenting on their reports for years and you can find a few blog posts here using the Search […]

Compliance 52

Compliance Government 52

Wealth Management

JULY 26, 2022

The digitalization of the wealth management industry has brought on unique demands, shifting from personal interactions to multi-communication channels.

Wealth Management 105

Wealth Management Management Communication 105

Norman Marks

SEPTEMBER 6, 2022

Alexei Sidorenko has a great blog that we should all subscribe to, the Risk-Academy Blog. He describes it as “Controversial thoughts about modern day risk management in non-financial companies”. He recently wrote “What should an awesome risk report look like?”,

Risk Management 57

Risk Management Management Government 57

The Irrelevant Investor

DECEMBER 5, 2017

So what do we do with this information? So what do we do with this information? So what do we do with this information? The idea that non-material, public information will somehow help you in any way shape or form is beyond ludicrous. The post Information Without Meaning appeared first on The Irrelevant Investor.

Numbers 52

Numbers 52

Wealth Management

MARCH 21, 2023

It’s rare to find a firm that grows strongly and consistently without a strategic growth framework approach.

129

129

Norman Marks

SEPTEMBER 14, 2023

A couple of new pieces provide some interesting insights into cyber risk and the effect of the new SEC cyber disclosure rules. Matt Kelly, formerly of Compliance Week and now the editor of Radical Compliance, shares the news with us each week. One topic he covered at the end of August was A Look at […]

Compliance 45

Compliance Government 45

Wealth Management

NOVEMBER 23, 2022

What are the best practices for trustees to avoid litigation?

59

59

Advisor Perspectives

DECEMBER 10, 2023

The Market Outlook Symposium is coming on December 14. The latest symposium from VettaFi will offer investors a deep and incisive look at how to position for 2024 and beyond. In today’s unusual market environment, this is a critical topic.

Marketing 52

Marketing Marketing 52

Wealth Management

DECEMBER 19, 2022

Kenneth Griffin claims the agency violated his right to privacy.

Taxes 105

Taxes 105

Norman Marks

APRIL 1, 2022

This requires directors to have sufficient information to assure themselves that they can make the best decisions possible at the time the […]. Today, I am hosting a Guest Post by Elliot Schreiber, PhD. I have a few comments at the end. Boards have responsibility for approving the strategy and risk appetite of the company.

Compliance 59

Compliance Government 59