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Recently Released!!!
Date Published: July 7, 2015
Summary Power Point Deck: 53 Slides
Reference Power Point Deck: 873 Slides
The purpose of this research is to provide readers with an initial understanding of investment management firm stumbles and their impact on the financial services industry, various products & services, various markets & distribution channels, and specific financial services firms. This research addresses prominent investment management firm stumbles such as the mutual funds late trading scandal & the mutual fund 12B1 scandal.
Investment management firm stumbles can be grouped into four phases, including:
- Insurance Industry Stumbles Phase
- Insider Trading Phase
- Mutual Funds Industry Stumbles Phase
- Ponzi Schemes Phase
Investment management firm stumbles can be defined to include dozens of stumbles, including:
- Mutual Funds Late Trading
- Mutual Fund 12B1 Scandal
- Money Market Funds Broke the Buck
- Leverage ETFs
This research supports three conclusions for investment management firm stumbles, including:
- The Continuation of Sub-Standard Industry Ethics
- Hedge Funds, Investment Banks, Retail Banks, & Insurance Companies Continue to be the Most Frequent Repeat Offenders
- Limited Historical Regulator Enforcement Success with the Emergence of Rock Star Enforcers
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