Investment Management

FSR advocates on behalf of members that provide investment products and services to individual and institutional investors, businesses, not-for-profit organizations, and governments (federal, state, and local); manage investments for themselves or their clients; provide financial, investment, or advisory services; and underwrite, deal-in, or make markets in capital markets financial instruments. 

Current Investment Management Priorities: 

  • Fiduciary Duties and Standards of Care
  • Systemic Risk Review of Asset Management
  • Retirement Planning and Saving
  • Regulating Municipal Securities Disclosures
  • Investment Funds Regulation
  • Retail Securities Issues
  • U.S. Securities Market Structure, Resiliency and Oversight

Going Beyond the Sound Bite – Fiduciary is Complicated, so How Do You Keep it Simple?

July 21, 2015

For years, efforts have been afoot to redefine what it means to be a fiduciary when providing financial advice to clients. The question is straightforward, “Should your financial professional act in your best interest?” The answer is, “Yes. Of course, they should.”

Anyone worth their salt in the financial services industry has to do what’s right for their clients, or they won’t be in business for very long. The trouble is, when you start to use words like “fiduciary duty” and then insert federal and state regulators with different rules governing investment and retirement products and the professionals that serve clients saving for retirement, that very straightforward question, as with most things in regulation, gets, well, complicated.

The Advice Yield – How to Achieve the Best Deal for Savers

July 16, 2015

Benjamin Franklin famously said, “If you fail to plan, you are planning to fail!”

This philosophy is especially relevant to workers who are increasingly responsible for navigating their way to a financially secure retirement due to a decline in defined pension plans and the tenuous future of Social Security. This can be a daunting task for many who feel intimidated by the markets and fearful of making uninformed investment decisions that will dramatically shape their ability to retire with ease.

The Case for Easing Up on Financial Regulation

June 22, 2015

TIM PAWLENTY: Companies around the world finance their operations in many ways. Some companies borrow from banks or sell bonds, others sell company stock, and still others use alternative means to ensure they have capital needed to operate effectively, hire staff and produce goods or services.

Let’s protect investors’ ‘best interest’ — the right way

June 17, 2015

The president is right: financial advisers and companies that take advantage of hardworking Americans saving for retirement by recommending financial products that benefit themselves more than their clients don’t deserve to be in business. They should absolutely be held accountable — through fines, by being barred from working in financial services or, in the worst cases, serious jail time.