Morningstar

Compliance

Why consistent research governance is critical for licensees and advisers

A breakdown in investment research protocols can spell disaster for Australian Financial Services licensees, as demonstrated by the ongoing investigations into IOOF. Conflicts of interest, including investment manager recommendations that lacked reasonable bases, are among some of the allegations leveled at IOOF, which employed its own research team. While the dealer group may have had […]
Magazine

ETF growth is outstripping the momentum of unlisted funds

The global market for exchange-traded funds (ETFs) will soon top $US3 trillion ($3.7 trillion), having exceeded $US2.9 trillion at the end of the first quarter, 2015. While this is overwhelmingly concentrated in North America – some $US2 trillion resides in the US – almost $US120 billion of this total is held in the Asia-Pacific region. ETFs […]
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