The SEC has issued a new risk alert on cybersecurity that registered broker-dealers and investment advisors need to follow closely. The SEC’s Office of Compliance Inspections and Examinations pointed to six broad categories in the alert, which was released on September 15.
Investment Management
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Looking back on a calendar year in which the S&P 500 outperformed the rest of the world by nearly 18% percent, many U.S. investors are perhaps wondering why they should venture outside of their home market. Add recent headlines from abroad, including talk of geopolitical instability, a Greek exit from the Eurozone, and a stock market bubble in China, and you start to see investors clicking the heels of their ruby red slippers, hoping for a return home to Kansas.
Short Selling
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Effective short selling enhances an investment portfolio’s risk-adjusted returns over time. All else equal, short positions lower market exposure when incorporated into a broader portfolio. Accordingly, the long/short approach generally reduces volatility and improves capital preservation over a full market cycle. The use of shorts in a portfolio typically gives long/short managers a competitive advantage over long-only investors, who are more dependent on rising markets to generate returns.
The movement of money into investments that create environmental and social change is gaining momentum, yet the perception that impact investing goes hand in hand with sub-market financial returns has hampered the wider adoption of this promising approach to investing in positive change.
This series covers industry sector dynamics in three parts:Part 1: Working the Plan – City Capital Venture’s seasoned deal team, Dan Kipp and Allen Tibshrany will explore the critical steps necessary to ensure success in the first 18 months post-investment, including guidance on governance, transparency and reporting.
Change is never easy, especially with the challenge of mainstreaming impact investing. But when change is fun, it is easier for those faced with seemingly insurmountable challenges to begin to see opportunities. For the past three years in Davos, the World Economic Forum (WEF) has designed and implemented elaborate and highly competitive interactions with investors, social entrepreneurs and government officials.
The Doubt-Filled Expansion
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Doubts about the strength of the global expansion continue to preoccupy investors, most recently causing a meaningful but relatively normal market correction.Although the global economy has been growing for nearly six years, investors have been buffeted by a seemingly never-ending series of events, from Greece and Puerto Rico to China. Each round of news seems to bait investors to stockpile their savings under a mattress. The latest series of events recently culminated with a notable more-than-10-percent peak-to-trough correction.
A Fork in The Road
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Jeff Mortimer’s latest Investment Update discusses what branch of the road the market may take, how the market correction served to reset investors’ views on risk and return and how we’re managing the opportunities and/or risks.
Lessons Learned - Avoiding Costly Mistakes
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Conventional advice may be harmful if you’ve accumulated significant wealth. Avoiding critical mistakes in asset allocation and family communication, as well as working with a trusted advisor in a collaborative environment are key best practices for ultra-high net worth individuals to pursue. This article provides some of the most common errors high-net-worth investors make when they apply conventional wisdom to their unconventional wealth.