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Compliance Systems

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  1. Is the DOL Fiduciary Rule Really So Bad?

    A Trump advisor’s objections to the new standard make one good point, one mixed, and two bad. 

  2. Unique Performance Features of the Mid-Cap Value Equity Universe

    On Tuesday morning, BP BP reported a 30% increase in net profit for the quarter, driven by higher oil and natural-gas prices and stronger refining margins. We're maintaining our $69 fair value estimate. During the quarterly conference call, chief executive John Browne confirmed that he will retire ...

  3. What Broker/Dealers Need to Do

    What do I think broker/dealers should be doing? Let me tell you.

  4. Alternatives for American Funds Fans

    Good small- and mid-cap funds that can take the place of Smallcap World.

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