The Assets: Investment strategies

Finra Urges Firms to Address Red Flags in Opening of Options Accounts

December 2, 2022No Comments

The industry’s self-regulator says firms must address how they deal with red flags, such as inexperienced new investors applying for options trading.

Home Office News: Wires Hang Help-Wanted Signs (Experience a Plus!); Alts at LPL; Morningstar’s ESG Analytics

November 30, 2022No Comments

A roundup of key updates from major broker-dealers, registered investment advisors, custodians and other distributors.

Alts-Focused Investment Manager Launches RIA

November 30, 2022No Comments

Ballast Rock Group has formed Ballast Rock Private Wealth to cater to accredited investors, tapping a Goldman Sachs and Bank of America alum to serve as the new RIA’s CIO.

Morgan Stanley’s Top Strategist on Going Against the Consensus

November 30, 2022No Comments

Mike Wilson, who was among very few analysts to forecast a drop in the S&P 500 even before the war in Ukraine, tells Bloomberg that he believes in being a “market historian” — while thinking for himself.

What You Should Know About Outsourcing Investment Management

November 29, 2022No Comments

Outsourcing investment management offers advisors the opportunity to free up substantial time while providing their clients with best-in-class solutions.

Push into Alts Hasn’t Helped Pension Funds Boost Returns: Study

November 29, 2022No Comments

A new paper from the Center for Retirement Research at Boston College suggests that increased reliance on alternative investments hasn’t boosted performance, though it may have reduced volatility.

Fidelity Starts Giving Customers Access to Crypto Trading: Report

November 29, 2022No Comments

The company has sent emails to several users telling them that “the wait is over,” according to The Block, after rolling out a waiting list for crypto trading for interested investors earlier this month.

Advisors Want Alts. Here’s How Broker-Dealers Pick Them

November 28, 2022No Comments

Eighty-eight percent of advisors plan to increase their alternatives allocations over the next two years, according to a survey from CAIS and Mercer.

Morgan Stanley Ordered to Pay $700K over Reps’ Recommendations of Risky Securities

November 28, 2022No Comments

The wirehouse allegedly failed to enforce a policy requiring reps to get prior approval before making recommendations for certain securities.

Is Direct Indexing Key to ESG Alignment?

December 1, 2022No Comments

It’s not easy being green, especially when allocating portfolios. But direct indexing may be changing the investment climate.