Podcasts about Investment Company Institute

Shelly Antoniewicz, chief economist at the Investment Company Institute, says that consumers currently expect that they will wind up paying about half of the costs added to goods by tariffs — meaning they will pay 10 percent more when an item is facing a 20 percent tariff — and she says that a cutback in consumer spending would dramatically change the economic picture, since it makes up about two-thirds of GDP. Along with declining consumer sentiment, Antoniewicz says that investors are reacting to current market performance and heading toward money-market and bond funds, waiting before they are willing to buy into the dips. Speaking of concerned and conservative investors, Todd Rosenbluth — head of research at VettaFi — picks an ultra-short and ultra-safe bond fund as his "ETF of the Week," and Chuck recounts three conversations this week with friends who are dealing with the market differently as they struggle to find some peace of mind amid current concerns. Plus, Chip Lupo discusses a WalletHub survey which showed that Americans can agree on something, namely that tipping is wildly out of control.

A second Trump Administration, coupled with new leadership at the SEC and Department of Labor, brings the potential for significant changes in the regulatory environment in Washington, including discussions that could impact retirement tax incentives and their role in encouraging long-term savings.For insight on what this could mean when it comes to the retirement industry, we check in with Eric J. Pan, President and CEO of the Washington, D.C.-based Investment Company Institute. ICI is the leading association representing the interests of regulated funds and the more than 120 million Americans who depend on them to achieve long-term financial goals including retirement.He chimes in on ICI's new “Help U.S. Retire” advocacy campaign, changes at the SEC, the need to protect the tax treatment of retirement savings, and why the 401(k) is envied by countries around the world.Key insights:Preserving Retirement Tax Benefits: The ICI's “Help U.S. Retire” campaign emphasizes safeguarding retirement tax incentives for retirement savings amid potential policy changes.Leveling the Retirement Playing Field: Efforts to include collective investment trusts (CITs) in 403(b) plans aim to provide broader investment options and reduce costs for participants.Global Recognition of the U.S. 401(k) System: The U.S. 401(k) system is globally admired for its success in fostering retirement savings, serving as a model for other nations.

In this podcast, Paulita Pike, CIS Trustee and Managing Partner of Ropes & Gray, moderates a panel from our 2024 Symposium on What Keeps Us Up At Night. Panelists include Adam Berger, Senior Managing Director, Multi-Asset Strategist and Portfolio Manager at Wellington Management, Michelle Knight, CEO & Chief Economist at Ropes Wealth Partners, and Paul Schott Stevens, CIS Trustee and Retired CEO of the Investment Company Institute. Highlights Interest rates and their impact on the economy. Discussion on role and independence of the Federal Reserve. Concerns over fiscal spending and budget deficit. Geopolitical risks and inflation concerns. Rising government debt and impact on future generations. Discussion on budget deficit and fiscal responsibility. Inflation and its effect on income inequality. Evaluation of equity valuations and potential bubbles. The complexities of AI and its contrasting impact. Personal story on AI's positive impact in healthcare. The need for thoughtful regulation of AI.   Episode Resources Connect with Catholic Investment Services https://catholicinvest.org/about-us/ https://catholicinvest.org/about-us/#board-of-trustees https://catholicinvest.org/contact-us/ https://catholicinvest.org/cis-institute/ 

Carol Geremia is president of MFS Investment Management® (MFS®) and head of Global Distribution. She leads the firm's worldwide client-facing teams as well as product and marketing strategy. Since joining MFS in 1984, Carol has held roles focused primarily on fiduciary responsibility, stewardship and sustainability, and she has actively engaged with clients at all levels to ensure that the firm builds products and services aligned with their needs. Carol is a member of the Investment Company Institute's Board of Governors, the City Year Seven Generations Board, the MFS Charitable Oversight Committee and as an Advisory Council member for Bridge Over Troubled Waters, Inc. Carol's career journey had an unconventional start in that she initially pursued a career in fashion.  We probe this intriguing fact and consider the similarities between the two worlds of fashion and investing. One aspect that is similar is the existence of trends and fads – and the importance of developing an eye to detect one forming and then of discerning which ones are likely to endure.  When we translate this into the world of investment products it is clear that investing also has cycles, fads and fashions and that “reading the room” or client appetite in this respect is a critical skill.  Carol charts her rise through MFS by referring back to a common touchstone – the importance of putting clients first.  She describes her mentors, and how she learned to overcome anxiety around performance in front of clients and how critical it was that she had found a home in which it was possible for her to be her authentic self.  This is a searing portrait of leadership through compassion and self-awareness.   This podcast is brought to you with the kind support of Longview Productions. 

How did Gary Tenkman go from a first-generation college graduate who felt like a fish out of water in finance to CEO of Ultimus Fund Solutions, a $475+ AUI award-winning fund? It sure wasn't easy. It took grit. It took being willing to get uncomfortable, fail, and learn (rinse, repeat). Grab your headphones and get ready for a backstory chock-full of lessons from places you'd least expect. Listen in as Gary discusses: His backstory — from first-generation college student paying his own way to rocking the CEO seat The importance of being willing to get uncomfortable, fail, and learn (rinse, repeat)What it looks like to be an introvert in a very forward-facing CEO role How being an introvert is one of the things that makes him a great leader The power of strategic scaling – why he considers culture first and profit second when considering acquisitions More about Gary Tenkman: Gary Tenkman is Chief Executive Officer of Ultimus Fund Solutions, the largest independent registered fund administrator and one of the largest private fund administrators in the U.S.  As CEO, Gary works closely with the Ultimus executive team and board members with responsibility for providing strategic growth, financial, and operational leadership for Ultimus and its over 900 employees. Gary has over 30 years of experience in the financial services industry. He joined Ultimus in 2014 as COO and was named CEO in 2019. Gary currently also serves on the Board of Governors for the Investment Company Institute.Resources mentioned in this episode:Book: Get Out of My Life, but First Could You Drive Me & Cheryl to the Mall: A Parent's Guide to the New Teenager, Factfulness: Ten Reasons We're Wrong about the World--And Why Things Are Better Than You Think - - -Make The Boutique Investment Collective part of your Billion Dollar Backstory. Gain access to invaluable resources, expert coaches, and a supportive community of other boutique founders, fund managers, and investment pros. Join Havener Capital's exclusive membership

Marty Fridson, chief investment officer at Lehmann Livian Fridson Advisors, says that while politics dominates the news, it shouldn't be creeping into investors' portfolio moves, as available research shows that market results have proven to be better by riding the market regardless of the party that holds the White House than by trying to strategize around the results of a vote. Fridson also discusses how the current rally in artificial intelligence is reminiscent of the Internet Bubble Days, in that a lot of companies are now benefitting from the market's perception that all AI is good, but that it will soon figure out that many companies getting a boost from the trend aren't the true beneficiaries from it.    Ming Jong Tey, principal trainer at Trade Precise, says the market is at an inflection point, moving away from the Standard & Poor's 500 and the Nasdaq 100 into the small-cap space, and he sees the Russell 2000 currently on a run that shoul;d push it to where it soon challenges previous record highs. Plus  Sarah Holden discusses research from the Investment Company Institute on how fund fees have dropped dramatically over the last 20 years, and how  as a result of fee shrinkage. In the Market Call, Howard Chan of Kurv Investment Management — which last week opened the new Kurv Technology Titans Select ETF — talks about using options strategy to benefit from sideways markets and avoid pain during big downturns.

JOSE'S BIO Jose Minaya is CEO of Nuveen, a leading global asset management firm with more than $1 trillion under management. He chairs Nuveen's Executive Committee, is a member of parent company TIAA's Executive Committee, and serves as the executive sponsor of the Inclusion and Diversity initiative for TIAA. He previously served as President and CIO of Nuveen and  joined TIAA in 2004 after more than 29 years of investment experience at firms including AIG, Merrill Lynch and JP Morgan. Minaya is on the board of Trustees of Manhattan College, where he earned a bachelor's in finance, and the board of advisors of the Amos Tuck School of Business MBA Council at Dartmouth, where he earned an MBA. In addition to those, he serves on the boards of multiple companies and charitable organizations, including Moody's, the National Forest Foundation, the Investment Company Institute, the Investment Committee of the Board of Regents of the Smithsonian Institution, and as chair of the Governing Board of Directors of the Robert Toigo Foundation. JOSE RELATED LINKS Nuveen Dartmouth Alumni Stories In 90 Seconds on HHM On hedging inflation - CNBC  GENERAL INFO| TOP OF THE GAME: Official website: https://topofthegame-thepod.com/ RSS Feed: https://feed.podbean.com/topofthegame-thepod/feed.xml Hosting service show website: https://topofthegame-thepod.podbean.com/ Javier's LinkTree: https://linktr.ee/javiersaade & Bio: https://tinyurl.com/36ufz6cs  SUPPORT & CONNECT: LinkedIn: https://www.linkedin.com/showcase/96934564 Facebook: https://www.facebook.com/profile.php?id=61551086203755 Twitter: https://twitter.com/TOPOFGAMEpod Subscribe on Podbean: https://www.podbean.com/site/podcatcher/index/blog/vLKLE1SKjf6G Email us: info@topofthegame-thepod.com   THANK YOU FOR LISTENING – AVAILABLE ON ALL MAJOR PLATFORMS  

The 401(k) has been under attack on multiple fronts lately.Between calls for eliminating their tax advantages to prop up Social Security to Bernie Sanders pining for a return to pension plans, and momentum seeming to build for the TSP-like “Retirement Savings for Americans Act” that many in the workplace retirement market believe would constitute unfair competition from the federal government, it's enough to have retirement plan advisors feeling a little defensive these days.Fortunately, plenty of retirement industry experts have stepped up to answer these attacks, and today's podcast features a prominent one in Sarah Holden, senior director of retirement and investor research at the Investment Company Institute.ICI has been very active in debunking recent attacks on defined contribution plans, and Holden makes some great points in defense of the 401(k).

We sit down with Kelly Grier and William McNabb to discover how to blend personal ambition with team success. They share how competitive spirit and team synergy can propel organisations forward.This episode is a masterclass in cultivating a robust team culture. We explore the strategies that turn individual stars into team players who champion the collective objective. We discuss the terrain of leadership development, from hands-on contributions to the finesse of mentoring up-and-coming talent.BIOSKelly J. Grier, 53, retired US Chair and Managing Partner (CEO) of Ernst & Young LLP (EY), a global professional services firm, in July 2022, having served in this capacity since 2018. Ms. Grier is a Certified Public Accountant and has over 30 years of service at EY serving in various roles with increasing levels of responsibility. During her career at EY, Ms. Grier gained significant broad-based experience working with the boards of many of the largest companies worldwide. She has served as a director of ITW since September 2022, CDW since August 2023, Booking Holdings since 2024 and serves as a director of many not-for-profit organizations.F. William McNabb III is the former chairman and chief executive officer of Vanguard. He joined Vanguard in 1986. In 2008, he became chief executive officer; in 2010, he became chairman of the board of directors and the board of trustees. He stepped down as chief executive officer at the end of 2017 and as chairman at the end of 2018. Earlier in his career, he led each of Vanguard's client-facing business divisions.Mr. McNabb is active in the investment management industry and served as the chairman of the Investment Company Institute's board of governors from 2013 to 2016. A board member of UnitedHealth Group, IBM, Axiom, Vanilla, and Altruist, he is also vice chair of the board of Nexii. He also serves as a senior advisor to Permira and Venrock.Mr. McNabb is active in the nonprofit world. He is a board member and co-chair of CECP: The CEO Force for Good, former co-chair of the NACD Future of the American Boardroom Commission, a board member of Elevate 215 and the Philadelphia Zoo, and chair of the US Rowing Foundation.In addition, Mr. McNabb is the executive in residence at the Raj & Kamla Gupta Governance Institute at the LeBow College of Business, a member of the Advisory Board of the Ira M. Millstein Center for Global Markets and Corporate Ownership at Columbia Law School, and a senior fellow of the Wharton Center for Leadership and Change Management.Mr. McNabb earned an A.B. at Dartmouth College and an M.B.A. from The Wharton School of the University of Pennsylvania.

Changing Fed policy in 2024 is likely to bring down yields from these increasingly popular funds. Here's what investors can consider instead.----- Transcript -----Welcome to Thoughts on the Market. I'm Andrew Sheets, Head of Corporate Credit Research at Morgan Stanley. Along with my colleagues bringing you a variety of perspectives, I'll be talking about trends across the investment landscape and how we put those ideas together. It's Friday, January 12th at 2 p.m. in London. One of the biggest stories in recent years has been the rise of the money market fund. Today, an investor in a US dollar money market fund earns a yield of about 5.3%, a full 1% higher than the yield on a 30 year US government bond and almost 4% higher than the yield on the S&P 500. All investment strategy at the moment, to some extent, flows from the starting point that holding cash pays pretty well. Unsurprisingly, those high yields in money market funds for little volatility have been popular. Per data from the Investment Company Institute, U.S. money market fund assets now stand at about $6 trillion, over $1 trillion higher than a year ago, which flows into these funds accelerating over the last few months. But we think this could change looking into 2024. The catalyst will be greater confidence that the Federal Reserve has not just stopped raising interest rates, but will start to cut them. If short term rates are set to fall, the outlook for holders of a money market fund changes. Suddenly they may want to lock in those high current yields. Morgan Stanley expects the declines and what these money market funds may earn to be significant. We see the Fed reducing rates by 100 basis points in 2024, and another 200 basis points in 2025, leaving short term rates to be a full 3% lower than current levels over the next two years. In Europe, rates on money market funds may fall 2% over the same period. While lower short term interest rates can make holding money market funds less attractive, they make holding bonds more attractive. Looking back over the last 40 years, the end of Federal Reserve rate increases, as well as the start of interest rate cuts has often driven higher returns for high quality bonds. But would a shift out of money market funds into bonds make sense for household allocations? We think so. Looking at data from the Federal Reserve back to the 1950s, we see that household allocation to bonds remain relatively low, while exposures to the stock market remain historically high. And this is the reason why we think any flows out of money market funds are more likely to go into bonds than stocks. Stock market exposure is already high, and stocks represent a much more volatile asset than bonds, relative to holding cash. While the US money market funds saw $1 trillion of inflows into 2024 flows to investment grade and high yield saw almost nothing. That is starting to change. With the Fed done raising rates, we expect higher flows into credit, especially in 1 to 5 year investment grade bonds, the part of the credit market that could be the easiest first step for investors coming out of cash and looking for something to move into. Thanks for listening. Subscribe to Thoughts on the Market on Apple Podcasts, or wherever you listen, and leave us a review. We'd love to hear from you.

Listen in podcast app and follow below for the podcast topic arc.* Open Ai Saga completes* The supply chain of the new AI industry* How to approach your career path and ladder climbing* New short term rental policy changes from CRA* Recommendations and LinksListen on Apple, Spotify, or Google Podcasts.Market Update

This episode focuses on the SEC's new and amended rules targeting private fund advisers, which were adopted on August 23. In addition to reviewing the rules' requirements—including some significant modifications from the rules that were proposed in February 2022—we discuss our expectations for fund advisers under the new rules and the ongoing litigation challenging them, as well as exam and enforcement observations.Episode Resources:9/12/23 SEC Marketing Rule Settlements Total 10 Before One Year Anniversary of Compliance Date9/11/23 SEC Division of Examinations Releases Process-Focused Risk Alert—Exam Selection and Typical Categories of Document Requests8/24/23 The Day Has Come: The SEC Adopts Private Fund Adviser RulesMeet Your Episode Hosts:Meaghan A. Kelly, Simpson ThacherPartner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations David W. Blass, Simpson ThacherPartner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SECContact UsTo learn more, visit us at www.regulatoryroundtablepodcast.com. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com. This podcast was recorded and is being made available by Simpson Thacher for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher expressly disclaims all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher makes no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher.

How did Gary Tenkman go from a first-generation college graduate who felt like a fish out of water in finance to CEO of Ultimus Fund Solutions, a $475+ AUI award-winning fund? It sure wasn't easy. It took grit. It took being willing to get uncomfortable, fail, and learn (rinse, repeat). Grab your headphones and get ready for a backstory chock-full of lessons from places you'd least expect. Listen in as Gary discusses: – His backstory — from first-generation college student paying his own way to rocking the CEO seat – The importance of being willing to get uncomfortable, fail, and learn (rinse, repeat)– What it looks like to be an introvert in a very forward-facing CEO role – How being an introvert is one of the things that makes him a great leader – The power of strategic scaling – why he considers culture first and profit second when considering acquisitions More about Gary Tenkman: Gary Tenkman is Chief Executive Officer of Ultimus Fund Solutions, the largest independent registered fund administrator and one of the largest private fund administrators in the U.S.  As CEO, Gary works closely with the Ultimus executive team and board members with responsibility for providing strategic growth, financial, and operational leadership for Ultimus and its over 900 employees. Gary has over 30 years of experience in the financial services industry. He joined Ultimus in 2014 as COO and was named CEO in 2019. Gary currently also serves on the Board of Governors for the Investment Company Institute.Want More Help With Storytelling?  +  Subscribe to my newsletter to get a weekly email that helps you use your words to power your growth:https://www.stacyhavener.com/subscribe  Resources mentioned in this episode:Books: Get Out of My Life, but First Could You Drive Me & Cheryl to the Mall: A Parent's Guide to the New Teenager, Factfulness: Ten Reasons We're Wrong about the World--And Why Things Are Better Than You Think - - - Thank you to our Billion Dollar Backstory podcast sponsor: Ultimus Fund Solutions. You want to launch an interval fund (but don't know where to start). Ultimus has your back. Their in-depth guide answers your real questions. 

In the latest episode of The Regulatory Roundtable, join us as we take a bird's eye view of the current SEC private funds environment and what's to come. Outlining policy and rulemaking, the increasingly challenging exam program, and the state of play on enforcement, we discuss the return to private funds as a marquee exam and enforcement priority.Meet Your Episode Hosts:Marc P. Berger, Simpson ThacherPartner; former Acting Director and Deputy Director of the SEC's Enforcement Division and Director of the SEC's New York Office; former Chief of the Securities and Commodities Fraud Task Force, U.S. Attorney's Office, SDNY David W. Blass, Simpson ThacherPartner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SECMeaghan A. Kelly, Simpson ThacherPartner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations Michael J. Osnato, Jr., Simpson ThacherPartner and Head of the Firm's Funds Regulatory and Investigations group; former Chief of the SEC's Complex Financial Instruments UnitContact UsTo learn more, visit us at www.regulatoryroundtablepodcast.com. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com. This podcast was recorded and is being made available by Simpson Thacher for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher expressly disclaims all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher makes no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher.

Are you looking for ways to make the most of your salary? Tune in to today's episode as we share the story of two investors, one in stocks and the other in real estate, and learn who is thriving years later. Don't miss this discussion about personal finance and gain insights into securing a comfortable retirement and taking control of your financial future!   WHAT YOU'LL LEARN FROM THIS EPISODE  Real estate vs. stocks: Which is the better long-term investment? Top reasons most people don't invest in real estate What happens to your money when you invest in retirement accounts Why the financial industry conditions people to invest in traditional retirement plans   RESOURCES/LINKS MENTIONED  Investment Company Institute   CONNECT WITH US  Email: shawn@greenbriarcg.com  Instagram: Shawn Winslow YouTube: Shawn Winslow LinkedIn: Shawn Winslow Facebook: Shawn Winslow  

Success doesn't come easy, but Lisa Jones, Head of the Americas, President, and CEO of Amundi US, Inc., knows that a strong work ethic and an unyielding commitment to your goals can make all the difference. Raised in an Italian Catholic family, Lisa learned the power of discipline from her days as an athlete, and she was able to take that knowledge to the professional world. In this episode, she'll share the secrets of her success, including how to maintain composure in tough situations and why it's important to stay optimistic and focus on the positives. Listen in to learn more about how Lisa makes tough decisions and how she prepares herself for the future. She'll also tell us about the time she retired to become a stay-at-home mom and how the events of 2020 changed her perspective on work-life balance. Join us to discover how Lisa has used her perseverance to not only break through barriers, but to create a life of success and personal fulfillment. Visit https://www.gobeyondbarriers.com where you will find show notes and links to all the resources in this episode, including the best way to get in touch with Lisa. Highlights: [02:35] Lisa's professional journey [05:28] The importance of perspective for leadership [07:51] Being the first generation in corporate [17:34] How Lisa found confidence [19:28] Making difficult decisions [21:31] Being prepared for the future [24:24] Lisa's take on work/life balance [28:24] Creating transparency about having a personal life [30:07] Lightning round questions Quotes: “Don't just lean in, go get 'em.” – Lisa Jones “We are still athletes of our brand and our career.” – Lisa Jones “Work-life balance for me is one where I'm both working and being a present parent.” – Lisa Jones Lightning Round Questions: What book has greatly influenced you? - “Lean In: Women, Work, and the Will to Lead” by Nell Scovell and Sheryl Sandberg What is your favorite inspiring quote or saying? - “Go get 'em.” What is one word or moniker you would use to describe yourself? - Transparent What is one change you've implanted that made your life better? - Not to take everything so personally. What power song would you want playing as you walk out onto a stage? - “I Am Woman” by Helen Reddy About Lisa Jones: Lisa M. Jones is Head of the Americas, President and Chief Executive Officer of Amundi US, Inc., the U.S. Division of Amundi Asset Management. She is Trustee of the Pioneer Funds, and President and Chief Executive Officer of the Pioneer Funds. Lisa is also President of Amundi Distributor US, Inc. She is head of the US Executive Committee and US Management Committee, and a member of the Global Executive Committee. She has over 30 years of experience in global financial services developing and building asset management businesses. In 2016 and 2020, Lisa received the Top Women in Asset Management Award from Money Management Executive. Prior to joining Amundi US, Lisa was Global Head of Distribution at Morgan Stanley Investment Management (MSIM) and President of MSIM Distribution Inc. In this role, she oversaw all MSIM distribution channels globally, including retail and institutional. Prior to that, Lisa was Head of the Global Institutional Division at Eaton Vance Management. She also spent more than 16 years at MFS Investment Management in leadership roles across both retail and institutional divisions. She began her career at E.F. Hutton & Co. in New York. Lisa is a member of the Board of Governors of the Investment Company Institute, a member of the MIT Sloan Finance Group Advisory Board at MIT Sloan School of Management and a member of the Board of Directors of Clearwater Analytics. Lisa has served on other boards such as the Foreign Policy Association in New York, the Advisory Board of the Institutional Investor Institute and the Board of Fellows at Trinity College in Hartford, CT. She is also a former trustee at the Pingree School Board of Trustees in South Hamilton, MA. She has a B.A. in Economics from Trinity College. Links: LinkedIn: https://www.linkedin.com/in/lisa-mjones/

Netflix is gearing up to report Q4 results after the bell as investors look for insight into subscriber and revenue growth since it launched its ad tier in November. Big Technology's Alex Kantrowitz explains what to expect. Plus, the Investment Company Institute says a record amount of funds flowed into money market accounts at the end of last year, topping the previous peak in 2020. Girard's Timothy Chubb gives his outlook on the markets. And, renewed recession worries are curbing stocks' run to start the new year, but is there a reason to still be bullish? CFRA's Sam Stovall weighs in.

Tokenised funds exist already in the United States and Singapore. Asset managers are not only issuing tokenised funds but backing projects whose ambition is to facilitate the large-scale tokenisation of shares in mutual funds. What are the benefits they see?In this podcast, the coming tokenisation of the mutual funds industry will be discussed, in terms of the incentives to change, the techniques employed and the timetable by which it will proceed.Whenever and however it happens, it will be a seismic transformation. According to the Investment Company Institute, there were at the end of June 2022 a total of 152,888 funds in existence around the world, worth a total of US$64.4 trillion.And the case for change is powerful. Mutual fund managers face challenges of profitability which existing methods of efficiency – automation, outsourcing and offshoring - cannot solve.It is why asset managers throughout the world – including eight leading organisations in London - are now investing in tokenisation, and not just of funds but of securities as a whole.They sense that shifting funds on to a blockchain-based operating model will streamline the infrastructure that separates fund issuers from fund investors, cutting costs to the benefit of both.It follows that existing intermediaries – such as transfer agents, fund accountants and fund platforms – must adapt their existing businesses to a tokenised future, or face extinction. Hosted on Acast. See acast.com/privacy for more information.

In this episode we discuss the emergence of new ESMA marketing guidelines; compliance with the SEC's new marketing rule coming into effect November 4, 2022; and key takeaways of interest for sponsors operating in the EU and the U.S.  Meet Your Episode Three Hosts:David W. Blass, Simpson Thacher Partner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SEC   Meaghan A. Kelly, Simpson Thacher Partner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations Owen Lysak, Simpson Thacher Partner; leads the Firm's European financial services and funds regulatory practice, advising private funds and alternative asset managers on complex U.K. and EU financial regulatory matters Contact UsTo learn more, visit us at http://www.regulatoryroundtablepodcast.com/ (www.regulatoryroundtablepodcast.com) and https://www.acaglobal.com/regulatory-roundtable-podcast (www.acaglobal.com/regulatory-roundtable-podcast). If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com.  This podcast was recorded and is being made available by Simpson Thacher and ACA Group for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher and ACA expressly disclaim all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher and ACA make no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher or ACA Group.

Dnes bych s vámi rád prošel extrémně zajímavou analýzu, kterou každý rok pravidelně zpracovává společnost Investment Company Institute. Na první pohled se v ní jasně ukazuje, že ETF fondy nejsou tím, co pokřivuje trh. Žádná bublina kolem ETF fondů se zkrátka nekoná. Například: ✓ Indexové a ETF fondy mají pouze 14% podíl ne celkovém akciovém trhu v USA. ✓ Více než 70 % akcií v USA drží hedge fondy, penzijní fondy, pojišťovny a individuální investoři. ✓ Tento poměr se za posledních 10 let zásadně nezměnil. https://www.icifactbook.org/pdf/2022_factbook.pdf --- Veškeré obsažené informace a názory pocházejí nebo jsou založeny na zdrojích, které považujeme za důvěryhodné. Více najdete na https://cimpel.cz/investicni-disclaimer/

This episode focuses on the SEC's February 9 proposed rules targeting private equity and private funds; the SEC's January 26 proposed amendments to Form PF; and the Division of Examinations risk alert published January 27. Meet Your Episode Two HostsDavid W. Blass, Simpson Thacher Partner; formerly served as General Counsel of the Investment Company Institute and also held senior roles for over a decade at the SEC Meaghan A. Kelly, Simpson Thacher Partner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations Michael J. Osnato, Jr., Simpson Thacher Partner and Head of the Firm's Funds Regulatory and Investigations group; former Chief of the SEC's Complex Financial Instruments Unit Robert Ingwer, ACA Group Principal Consultant, Investment Adviser Division; compliance executive offering over 10 years' experience building, supporting and leading advisory businesses in both private equity and fixed income Contact UsTo learn more, visit us at http://www.regulatoryroundtablepodcast.com/ (www.regulatoryroundtablepodcast.com) and https://www.acaglobal.com/regulatory-roundtable-podcast (www.acaglobal.com/regulatory-roundtable-podcast). If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com.  This podcast was recorded and is being made available by Simpson Thacher and ACA Group for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher and ACA expressly disclaim all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher and ACA make no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher or ACA Group.

QUESTION PRESENTED:Whether allegations that a defined-contribution retirement plan paid or charged its participants fees that substantially exceeded fees for alternative available investment products or services are sufficient to state a claim against plan fiduciaries for breach of the duty of prudence under the Employee Retirement Income Security Act of 1974, 29 U.S.C. § 1104(a)(1)(B).Date                    Proceedings and Orders (key to color coding)Jun 19 2020 | Petition for a writ of certiorari filed. (Response due July 23, 2020)Jul 13 2020 | Motion to extend the time to file a response from July 23, 2020 to August 24, 2020, submitted to The Clerk.Jul 14 2020 | Motion to extend the time to file a response is granted and the time is extended to and including August 24, 2020.Aug 24 2020 | Brief of respondents Northwestern University, et al. in opposition filed.Sep 09 2020 | DISTRIBUTED for Conference of 9/29/2020.Sep 09 2020 | Reply of petitioners April Hughes, et al. filed. (Distributed)Oct 05 2020 | The Acting Solicitor General is invited to file a brief in this case expressing the views of the United States.May 25 2021 | Brief amicus curiae of United States filed.Jun 08 2021 | DISTRIBUTED for Conference of 6/24/2021.Jun 08 2021 | Supplemental brief of respondents Northwestern University, et al. filed. (Distributed)Jun 10 2021 | Supplemental brief of petitioners April Hughes, et al. filed. (Distributed)Jul 01 2021 | DISTRIBUTED for Conference of 7/1/2021.Jul 02 2021 | Petition GRANTED. Justice Barrett took no part in the consideration or decision of this petition.Jul 22 2021 | Motion for an extension of time to file the briefs on the merits filed.Jul 28 2021 | Motion to extend the time to file the briefs on the merits granted. The time to file the joint appendix and petitioners' brief on the merits is extended to and including September 3, 2021. The time to file respondents' brief on the merits is extended to and including October 21, 2021.Aug 02 2021 | Blanket Consent filed by Petitioner, April Hughes, et al.Sep 03 2021 | Brief of petitioners April Hughes, et al. filed.Sep 03 2021 | Joint appendix filed. (Statement of costs filed)Sep 08 2021 | Blanket Consent filed by Respondent, Northwestern University, et al.Sep 09 2021 | Brief amicus curiae of American Association for Justice filed.Sep 10 2021 | Brief amici curiae of Investment Law Scholars filed.Sep 10 2021 | Brief amicus curiae of United States filed.Sep 10 2021 | Brief amicus curiae of Service Employees International Union filed.Sep 10 2021 | Brief amicus curiae of Samuel Halpern filed.Sep 10 2021 | Brief amici curiae of AARP, et al. filed.Sep 20 2021 | SET FOR ARGUMENT on Monday, December 6, 2021.Sep 27 2021 | Record requested from the U.S.C.A. 7th Circuit.Sep 27 2021 | Record received from the U.S.C.A. 7th Circuit is electronic and located on Pacer. Also received 1 Sealed document which is electronically filed.Oct 01 2021 | Motion of the Acting Solicitor General for leave to participate in oral argument as amicus curiae, for divided argument, and for enlargement of time for oral argument filed.Oct 21 2021 | Brief of respondents Northwestern University, et al. filed.Oct 27 2021 | Brief amicus curiae of Euclid Fiduciary filed. (Distributed)Oct 28 2021 | Brief amici curiae of Chamber of Commerce of the United States of America, et al. filed. (Distributed)Oct 28 2021 | Brief amicus curiae of Investment Company Institute filed. (Distributed)Oct 28 2021 | Brief amici curiae of American Council on Education and 17 Other Higher Education Organizations filed. (Distributed)Oct 28 2021 | Brief amicus curiae of Committee on Investment of Employee Benefit Assets filed. (Distributed)Oct 28 2021 | Brief amicus curiae of Teachers Insurance and Annuity Association of America filed. (Distributed)Oct 28 2021 | Brief amicus curiae of American Benefits Council filed. (Distributed)Oct 29 2021 | CIRCULATEDNov 08 2021 | Motion of the Solicitor General for leave to participate in oral argument as amicus curiae, for divided argument, and for enlargement of time for oral argument GRANTED, and the time is allotted as follows: 20 minutes for petitioners, 15 minutes for the Solicitor General, and 35 minutes for respondents. Justice Barrett took no part in the consideration or decision of this motion.Nov 19 2021 | Reply of petitioners April Hughes, et al. filed. (Distributed)★ Support this podcast on Patreon ★

CNBC's Bob Pisani spoke with Eric Pan, CEO of Investment Company Institute and Ed Rosenberg, Head of ETFs for American Century Investments – along with Tom Lydon, CEO of ETF Trends. They discussed budget battle and ETFs … what the Democrats' new proposed tax law changes mean for ETF investors – plus, the search for yield in a lower-for-longer interest rate environment. In the 'Markets 102' portion of the podcast, Bob continues the conversation with Tom Lydon from ETF Trends.

Guests: Bill O'Reilly, Veteran Broadcaster, On to discuss his new book "Killing The Mob." Sarah Holden, Senior Director of Retirement and Investor Research at Investment Company Institute, On to discuss saving for retirement. And ... Your thoughts on the latest in the news. See omnystudio.com/listener for privacy information.

Eric Pan, CEO of the Investment Company Institute, discusses how the trade association develops views on behalf of its members and the 100 million investors that they serve, including on one of the most pressing issues of the new administration — Environmental, Social, and Governance disclosures by regulated entities. Also hear his views on proxy voting, money market funds, FSOC, LEI, and recent market volatility.

Sarah Holden, Retirement and Investor Researcher for the Investment Company Institute, discusses tax tips and financial strategy.  See omnystudio.com/listener for privacy information.

Segment 1: Best-selling financial author Jared Dillian joins John to talk about U.S. producer prices increasing more than expected in March, some important personal finance laws to live by including avoiding credit card debt, living below your means and getting the big purchases right. Segment 2: Sarah Holden, Senior Director, Retirement and Investor Research, the Investment Company Institute, […]

Sarah Holden, Senior Director, Retirement and Investor Research for The Investment Company Institute offers Pandemic Year Tax Tips See omnystudio.com/listener for privacy information.

Sarah Holden, Senior Director, Retirement and Investor Research for The Investment Company Institute offers Pandemic Year Tax Tips See omnystudio.com/listener for privacy information.

Sarah Holden is the Senior Director of Retirement and Investor Research at the Investment Company Institute. In today's episode, we're talking about smart financial moves Millennials are taking that are much different than the generations before. She states getting into smart financial habits young is the key to a successful finances and in turn, a healthy retirement. To connect with Sarah, visit ICI.org.

The March market madness taught us a few things about how ETFs work in a moment of crisis—among them, how authorized participants show up en masse when they're needed most. Shelly Antoniewicz, senior director of industry and financial analysis at the Investment Company Institute, shares the data from ICI's look into recent ETF market action.

Most people are better at planning a vacation than they are planning for retirement. People think of it as something far off that they ignore for years or decades. They make major mistakes, choose products that don’t suit their needs or meet their goals, or fail to take advantage of the opportunities provided to them.  Sarah Holden understands well why this happens. She worked at the Federal Reserve Board, where she analyzed the US retirement system and studied the retirement market. She now is at the Investment Company Institute, where she is focused on researching what people do at the beginning and ends of their careers as they plan for and transition into retirement.    Today, Sarah joins the podcast to talk about how to turn the daunting prospect of planning for retirement into a multi-step process, the important questions you should be asking your financial advisor at every stage of your career, and the three keys to success when it comes to saving for retirement.  In this podcast interview, you’ll learn:  The major mistakes people make when they think about or plan for retirement.  Why employers shifted from pensions to 401(k)s in the late 70s and early 80s - and how this changed retirement investing.  How young investors can maximize their tax benefits at the beginning of their careers.  How the CARES Act and SECURE Act have impacted retirement planning.  Why the HSA is such a great vehicle for retirement savings.  Interview Resources Investment Company Institute Retirement Plans, Benefits, and Savings from the Department of Labor Investor Page from The Securities and Exchange Commission Internal Revenue Services  

Mutual funds have long been a staple for investors, offering instant diversification and the prospect of having a professional money manager in charge of your portfolio. But changes to the structure of investment vehicles, specifically the introduction of exchanged-traded funds (ETFs), have rendered the old-school mutual fund obsolete. The unfortunate reality, however, is that most of the retail investment community has not caught on. According to the Investment Company Institute, an estimated 100 million Americans owned mutual funds in mid-2017. That amounts to some $18.7 trillion in total assets that is owned via a suboptimal legal structure. The result is an industry that, according to David Swensen, Yale’s legendary investment guru, “costs investors billions in lost returns every year – while coining money for itself, its employees, and its distributors.” By now the benefits of ETFs over mutual funds should be clear. No matter how you look at it, whether from a performance, cost, tax, liquidity or transparency perspective, ETFs provide benefits that mutual funds simply can’t match. Stock Market Scanner: https://bit.ly/tradeideasz BEST STOCK MARKET COURSE $5: https://bit.ly/carterfarrschool --- Support this podcast: https://anchor.fm/carterfarrpodcast/support

This week, we talk to Sarah Holden PhD about retirement accounts and saving during stressful times. Dr. Holden is an economist and Senior Researcher for the Investment Company Institute (ICI). The ICI strives to promote public understanding of mutual funds and other investment companies, and regularly publishes studies on the behavior of retirement and mutual fund investors. Sarah brings us valuable insight into the behavior of investors during corona as well as regular usage of various retirement accounts based on the Investment Company Institute's studies.Have ideas for a future episode? Send in an email or tweet @MainStMoney to have your idea as a future show! Be sure to check out the YouTube channel for new demonstrations!Links to Resources and websites mentioned in the show:US Department of Labor - www.dol.govDepartment of Labor Retirement Booklet - www.dol.gov/sites/dolgov/files/ebsa/about-ebsa/our-activities/resource-center/publications/what-you-should-know-about-your-retirement-plan.pdfSecurities and Exchange Commission - www.SEC.govFinancial Industry Regulatory Authority (FINRA) - www.FINRA.orgFINRA Broker Check Tool - brokercheck.finra.orgSEC Investor Resources website - www.investor.govConsumer Financial Protection Bureau - www.consumerfinance.govDr. Holden's Links:Sarah's LinkedIn: www.linkedin.com/in/sarah-holden-55375a2a/Firm Website: www.ici.orgYouTube: www.youtube.com/user/ICIVideoTwitter: www.twitter.com/iciMy Usual Links:Show Email address: Mainstfinance@gmail.comTwitter Account: @MainStMoneyYouTube Channel: https://www.youtube.com/channel/UCxWzLF_ZCgeDJ6PcIovg9ww

He’s gone and done it now. Joe Biden is officially targeting your IRA and 401(k). If you value your retirement savings, you need to listen right now. I’m Bryan Ellis. This is Episode #327 of Self-Directed Investor Talk.----Hello, Self-Directed Investor Nation, all across the fruited plane! Welcome to the SHOW OF RECORD for savvy self-directed investors just like you.Joe Biden, Democrat candidate for President of the United States, has tried to slip in a doozy of a tax policy change that, frankly, will hit me and you right in the pocketbook… and he’s trying to make sure that nobody knows about it by not bringing any attention to it.But this has not escaped the watchful eye of the team here at Self-Directed Investor Talk.On today’s page, which being that this is episode #327, that page is, of course, SDITalk.com/327… On that page, I’ll link to the sources from which this data comes so you can judge it for yourself.But here’s the bottom line: If you elect Joe Biden as president, your IRA and 401(k) tax benefits are going to be slashed. Period.The specifics of the policy are not yet well described by the Biden campaign, because I suspect they’re trying to avoid the absolute CRAPSTORM that will result whenever the public gets wind of this. But it’s such a clear and obvious negative that, well… I’ll just read a quote to you from RollCall.com that has some good coverage of this issue. The quote is:The former vice president’s "drastic" proposal, in the words of one industry lobbyist, would upend existing tax preferences for retirement saving in 401(k)-style plans. The Investment Company Institute, which represents mutual funds, exchange-traded funds and other investment vehicles in the U.S. and abroad, has already promised opposition.So, my friends, it looks something like this:Under the current system - which has worked beautifully for decades - when you contribute money to a traditional IRA or 401(k), you get to deduct that contribution against your taxable income.And old creepy Joe… it will work the same way under his system. But with one “little” caveat.Joe will still let you take a deduction for your contribution. But he’s going to limit the amount of that deduction to some as yet underdetermined top rate… probably 26% according to current expectations.So that means that, for those of you higher income earners - of which there are many in the SDI Talk audience - and whose marginal tax rate is not a mere 26% but is 32% or 37% or even higher…Well… you’re just out of luck. Sure, you can still make the contributions… only your tax benefits will be puny under Joe Biden versus how every other President - Democrat and Republican - has handled things in the past.But that’s not the worst of it, my friends. What happens whenever Washington begins to limit a tax benefit? The answer is always the same: They limit it EVEN MORE in the future.So mark my word: If you elect Joe Biden and let him begin to slash your tax benefits on your IRA or 401(k) now… it’s just a matter of time… a matter of VERY LITTLE TIME… before somebody decides that even Joe didn’t slash your tax benefits enough…...and soon enough, the tax advantage to your IRA and 401(k) is gone.But you have a choice. You can make sure that doesn’t happen. If you’re made the connection that voting for anybody but Joe Biden could be a wise decision, you’ve reached a wise deduction indeed.Oh… and a quick note… the latest edition of Self-Directed Investor Magazine is now out, and it’s a SPECTACULAR edition, if I do say so myself. If you’d like a complimentary copy, just send a text message to my office to request it and we’ll take care of you. The phone number is 678-888-4000…. Again 678-888-4000.My friends… Invest wisely today and live well forever! See acast.com/privacy for privacy and opt-out information.

How many Economists with a PhD who study retirement and policy trends, as well as the behaviors of an investor do you know? We know one! Sarah Holden is the Senior Director of Retirement and Investor Research at Investment Company Institute, the leading global association of regulated funds. Despite that hefty title, Sarah uses plain English to make retirement and investment concepts clear. In this episode, she shares the three steps every worker should take to make the most of a workplace IRA or an individual IRA. Learn how America’s retirement system works for you, the difference between the types of plans and the smartest ways to save in them. If you’re ready to take your retirement to the next level and do some financial housekeeping, you won’t want to miss our conversation with Sarah!Here is a list of neutral websites Sarah references: RESOURCE CENTERShttps://www.ici.org/401khttps://www.ici.org/iraresource ICI EDUCATION FOUNDATIONhttp://icief.org/index.html FINRA BROKER CHECKhttps://www.finra.org/investors/learn-to-invest/choosing-investment-professional/about-brokercheck DOL SMALL EMPLOYER SITEhttps://www.dol.gov/general/topic/retirement/smallbusiness SEC INVESTOR EDUCATIONhttps://www.investor.gov/contact-usSOCIAL SECURITYhttps://www.ssa.gov/myaccount/

On this show, we talked about American’s savings habits, how automation helps to build positive habits, and how you should be thinking about your 401k match with Sarah Holden and Tina Kilroy from the Investment Company Institute.  Listen to learn about the key aspects of your 401k you should be focused on! For the Difference Making Tip, scan ahead to 17:17! You can learn more about Sarah and Tina at ICI.org, Facebook, Twitter, LinkedIn and LinkedIn. Interested in starting your own podcast?  Click HERE George is honored to be included on Investopedia's list of the Top 100 Financial Advisors for 2019! You can learn more about the show at GeorgeGrombacher.com, Twitter, LinkedIn, Instagram and Facebook or contact George at Contact@GeorgeGrombacher.com.

In this episode I chat with Sarah Holden and Tina Kilroy from the Investment Company Institute and Jen Smith from the Modern Frugality Blog about the state of retirement savings in the midst of the COVID-19 pandemic. Plus Rich Jones from Paychecks & Balances talks about his dry July.  

Hey everyone, this is a really special episode. Not only am I doing my first interview with 2 people but they are also the first women I have had on the podcast. Sarah Holden and Tina Kilroy join me on todays episode and it is a doozy! They work for ICI which is the Investment Company Institute and they are all about financial literacy. They share date about investing, how we should be approaching each check, and lots of advice about how to handle your finances. It's an amazing episode and I hope you learn a lot. The links to where you can learn more: https://ici.org (This includes all of the research they mention as well as a resource centers for all sorts of research regarding investing) Twitter https://twitter.com/ICI Facebook https://www.facebook.com/ici.org/ LinkedIn https://www.linkedin.com/company/investment-company-institute/ Icief.org (Education Foundation website) Thank you for listening #keepitonemillion --- Support this podcast: https://anchor.fm/paris-grant/support

In this episode of Wine and Dime, welcome back Tina Kilroy and Sarah Holden. If you don’t recall, Tina and Sarah work for the ICI (https://www.ici.org/) website for countless resources to help you make educated discussions when it comes to retirement an investments. So sit on back, pop open a bottle of your favorite vino and enjoy this conversation! Links: GEN X, GETTING TO KNOW THEM PDF (https://tj-meehan-rs4z.squarespace.com/s/ICI-Gen_X_Getting-to-Know-Them.pdf) Biography Sarah Holden is Senior Director of Retirement& Investor Research at the Investment Company Institute (ICI), the leading association representing regulated funds globally, including US mutual funds and exchange-traded funds (ETFs). Sarah has a PhD in economics and has studied retirement trends and policy, as well as the behavior of investors, for decades. She uses humor and plain English to make retirement and investment concepts clear. Christina“Tina”Kilroy is vice president of the ICI Education Foundation (ICIEF), leading the efforts of the Investment Company Institute to develop and deepen investor education resources and to partner with ICI members and other organizations to enhance financial literacy. Tina has a great understanding of the best financial education resources available, and can offer listeners insights based on their needs. About the Investment Company Institute Education FoundationFormed in 1989, the ICI Education Foundation (ICIEF) is the educational affiliate of the  Investment Company Institute (https://www.ici.org/) , the leading global association of regulated funds. ICIEF partners with government agencies and other nonprofit organizations to develop, deliver, and promote investment education programs to a variety of specific audiences. The foundation also participates in financial education advocacy coalitions, conferences, and initiatives that promote saving and investing nationwide. Since 2010, ICIEF has partnered with Junior Achievement of Greater Washington (JA) through its Finance Park program for middle-school students. ICIEF’s contribution includes an educational exhibit and interactive game at Finance Park locations in Fairfax County, VA, and in Montgomery County and Prince George’s County, MD.  Learn more about ICIEF’s partnership with JA (http://www.icief.org/programs/index.html) . For more information about ICIEF, please contact  LinkedIn (https://www.linkedin.com/company/icief) . THIS EPISODE WAS PRESENTED BY Amy Irvine AND IN COLLABORATION WITH The Seneca Lake Wine Trail (https://senecalakewine.com/) AMY IRVINE ROOTED PLANNING GROUP 10 EAST MARKET STREET CORNING NY 14830 WWW.ROOTEDPG.COM (https://www.rootedpg.com/) EMAIL: AMY@ROOTEDPG.COM

In this episode of Wine and Dime, I have the pleasure of talking to Tina Kilroy and Sarah Holden. Tina and Sarah work for the ICIEF (http://www.icief.org/about.html) website for countless resources to help you make educated discussions when it comes to retirement an investments. We even get around to talking about some of our favorite wines. Check the notes below for that recommendation. So sit on back, pop open a bottle of your favorite vino and enjoy this conversation! BIOGRAPHY Sarah Holden is Senior Director of Retirement& Investor Research at the Investment Company Institute (ICI), the leading association representing regulated funds globally, including US mutual funds and exchange-traded funds (ETFs). Sarah has a PhD in economics and has studied retirement trends and policy, as well as the behavior of investors, for decades. She uses humor and plain English to make retirement and investment concepts clear. Christina“Tina”Kilroy is vice president of the ICI Education Foundation (ICIEF), leading the efforts of the Investment Company Institute to develop and deepen investor education resources and to partner with ICI members and other organizations to enhance financial literacy. Tina has a great understanding of the best financial education resources available, and can offer listeners insights based on their needs. About the Investment Company Institute Education FoundationFormed in 1989, the ICI Education Foundation (ICIEF) is the educational affiliate of the  Investment Company Institute (https://www.ici.org/) , the leading global association of regulated funds. ICIEF partners with government agencies and other nonprofit organizations to develop, deliver, and promote investment education programs to a variety of specific audiences. The foundation also participates in financial education advocacy coalitions, conferences, and initiatives that promote saving and investing nationwide. Since 2010, ICIEF has partnered with Junior Achievement of Greater Washington (JA) through its Finance Park program for middle-school students. ICIEF’s contribution includes an educational exhibit and interactive game at Finance Park locations in Fairfax County, VA, and in Montgomery County and Prince George’s County, MD.  Learn more about ICIEF’s partnership with JA (http://www.icief.org/programs/index.html) . For more information about ICIEF, please contact  LinkedIn (https://www.linkedin.com/company/icief) . Veritas Vineyards and Winery (https://www.veritaswines.com/) began in 1999 when Andrew and Patricia Hodson planted 5 acres of grapes as a passion project. Over the past two decades, Veritas has grown to include over 50 acres of vineyards and has succeeded in consistently producing a range of complex and elegant wines. Viognier (https://www.veritaswines.com/project/viognier/) . Veritas. Virginia.Viognier is our specialty white wine and the declared white wine of Virginia. We love Viognier made in a style that emphasizes the unique aromatic complexity of the grape. Pale gold in color, delicate orange blossom precedes aromas of ripe peach, apricots and orange zest. Deliciously opulent, the uplifting rush of apricot and peach are embedded in a rich mouthfeel that gradually fades into a tantalizingly long finish. PAIRINGS: Peaches, Lobster, Shrimp and Grits, Thai Food THIS EPISODE WAS PRESENTED BY Amy Irvine AND IN COLLABORATION WITH The Seneca Lake Wine Trail (https://senecalakewine.com/) AMY IRVINE ROOTED PLANNING GROUP 10 EAST MARKET STREET CORNING NY 14830 WWW.ROOTEDPG.COM (https://www.rootedpg.com/) EMAIL: AMY@ROOTEDPG.COM

Is your New Year's resolution to save more money for retirement?  Do you know where it should go?  Senior Director of Research at Investment Company Institute, Sarah Holden, discusses the best places to put your money to work for you. She and host Heather Kelly also talk about DIY Investments versus using a financial adviser. You can follow this show on Twitter and on Facebook.  And to see what Heather does when she's not talking money, go to her personal Twitter page. Be sure to email Heather your questions and request topics you'd like her to cover here.  

Adrian Whelan from Brown Brothers Harriman (BBH) and I speak about inclusion in the workplace, among lots of others things. Being your authentic self at work, how to speak up, getting a mentor, the idea of "normal" (what is normal?), the key to fitting in at work, "giving it a go", self-awareness, reflection, creating a feedback culture, high performers, the "getting out of bed" test and how a diversity and inclusion policy results in better business outcomes. Adrian Whelan is a Senior Vice President and Head of Regulatory Intelligence for Investor Services at Brown Brothers Harriman (BBH), based in Dublin. In this role, he is responsible for articulating the impact of regulatory change on asset managers and the industry in which they operate. Mr. Whelan is the lead contributor to BBH’s On The Regs blog, where he regularly shares insights on global regulatory topics. He joined the firm in 2011. Mr. Whelan is active in the Investment Company Institute, the International Securities Lending Association, Irish Funds and Investment Association, and other global industry bodies and working groups focused on education and advocacy for regulatory and policy changes impacting the asset management and banking industries. Mr. Whelan is a champion of the Dublin chapter of BBH's Young Professionals Network and is active in the firm’s Asia Link Network and Pride Network. Adrian holds a degree in Business Studies from Dublin City University. https://ontheregs.com

Sarah Holden, from the Investment Company Institute, shares how to save for retirement with amazing results. Sarah reveals why being consistent can put you ahead in the money stakes. Following some simple money rules can make a tremendous difference to your bottom line.

Finance people throw out terms like 401k, 403b and IRA all the time.  Do you know the difference?  Senior Director of Research at Investment Company Institute, Sarah Holden, explains what all those numbers and letters mean. She and host Heather Kelly also discuss which retirement plan is best.  And can you have all three plans at the same time? You can follow this show on Twitter and on Facebook.  And to see what Heather does when she's not talking money, go to her personal Twitter page. Be sure to email Heather your questions and request topics you'd like her to cover here.

Bloomberg Opinion columnist Barry Ritholtz interviews AIG’s Sharon French, who will soon take the reins at the company’s life and retirement funds business, which manages more than $85 billion in assets. French is also president and member of the Global Governance Committee for Women in ETFs and a member of the Investment Company Institute’s ETF governance committee. 

With Dr. Sarah Holden, Senior Director of Retirement & Investment Research at the Investment Company Institute

Maybe its just that time of year again, but a few articles have popped up recently about how we need to overhaul 401(k) plans, or how we need to scrap the 401(k), you get the picture.  However, my guest today, Sarah Holden, Senior Director of Retirement & Investor Research at the Investment Company Institute has some powerful data which tells a different story.  While few would suggest that 401(k) plans are perfect, Sarah and ICI have spent years delving into  what people really think about their 401(k) plans.  I won’t spoil this too much, but safe to say Sarah will leave you feeling good about 401(k) plans and the benefits they offer employees and the positive feelings they evoke even from people who don’t have one yet.   Guest Bio Sarah Holden, Investment Company Institute (ICI) senior director of retirement and investor research, leads the Institute’s research efforts on investor demographics and behavior and retirement and tax policy. Holden, who joined ICI in 1999, heads efforts to track trends in household retirement saving activity and ownership of funds as well as other investments inside and outside retirement accounts. She is responsible for analysis of 401(k) plan participant activity using data collected in a collaborative effort with the Employee Benefit Research Institute (EBRI), known as the EBRI/ICI Participant-Directed Retirement Plan Data Collection Project. In addition, she oversees The IRA Investor Database™, which contains data on more than 17 million IRA investors and allows analysis of IRA investors’ contribution, rollover, conversion, and withdrawal activity, and asset allocation. Before joining ICI, Holden served as an economist at the Federal Reserve Board of Governors. She has a PhD in economics from the University of Michigan and a BA in mathematics and economics, cum laude, from Smith College. 401(k) Fridays Podcast Overview Struggling with a fiduciary issue, looking for strategies to improve employee retirement outcomes or curious about the impact of current events on your retirement plan? We've had conversations with retirement industry leaders to address these and other relevant topics! You can easily explore over one hundred prior on-demand audio interviews here. Don't forget to subscribe as we release a new episode each Friday!

Protecting Your Mutual Fund Assets: What You Need to Know and Do As you're investing in mutual funds for your retirement, children's education, or for a rainy day, you want to keep others from getting their hands on your savings! Sometimes the threat comes from a fraudster, and sometimes it comes from little-known rules buried within your state government's bureaucracy. Because educated investors are more able to protect their assets, you'll learn about potential risks to your assets being taken or stolen, and the steps you can take to avoid them. Hear from two mutual fund industry experts about: * How to shield your financial accounts from winding up in the hands of the state; * What funds are doing to protect the accounts of senior investors from financial exploitation and abuse and how you can assist; and, * How funds defend against fraud, as well as common warning signs you should watch for when monitoring your accounts. ICI Associate General Counsel Tami Salmon and ICI Director Joanne Kane will discuss these issues and answer your questions. Join us!

John & Heidi share funny stories of people doing weird things... plus John chats with Sarah Holden with senior director of retirement and investor research at the Investment Company Institute https://www.ici.org/ Learn more about our radio program, podcast & blog at www.JohnAndHeidiShow.com

At Citibank, David X Martin (http://davidxmartin.com/) developed one of the first comprehensive enterprise risk management processes. While with AllianceBernstein, he was the founding chairman of the Investment Company Institute’s Risk Committee. Drawing on his lengthy career as a risk management executive, consultant/adviser, author and educator, Martin reflects on the state of the risk profession, changes in the risk landscape, and his current work on cyber risk and board governance as managing partner of cybX.

Learn smart ways to make the most of your retirement savings plan and get the latest on what other investors are doing when it comes to mutual funds and exchange trade funds (ETFs). I'll talk to two industry mavens from the Investment Company Institute. First, Sarah Holden, a nationally known retirement maven and Ph.D. economist who leads ICI's retirement and investor research, will share insights on building your retirement nest through… * Investing in your 401(k), and preserving your nest egg when changing jobs or retiring. * Maximizing savings by taking advantage of opportunities outside the workplace, including individual retirement accounts (IRAs). * Understanding your investment options, including target date funds, domestic and international equity funds, and domestic and international bond funds. * And she'll talk about the similarities and differences between generations of savers from baby boomers to millennials, touching on the growing rollover trend from 401(ks) to IRAs as boomers enter retirement. Then, ICI Senior Director for Financial and Industry Analysis Shelly Antoniewicz will join me. Shelly has her finger on the pulse of fund investment and she'll offer the latest on where fund investor money is headed in today's financial markets, including… * What to know about bond funds in a rising interest rate environment. * Trends in equity fund investment. * How American fund investors are increasingly thinking global. * And touch on what to keep in mind for those times when markets get bumpy. For More Information: Website: https://www.ici.org/ Facebook: https://www.facebook.com/ici.org Twitter: @ICI

Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast.  Susan and Tamara will join us for an hour to talk about the Top Compliance Trends and the SEC Agenda for Funds: What the Mutual Fund and ETF Industry is Watching. It's a dynamic time in the world of fund compliance and regulation. Technology, innovation, and simplification are just a few of the big trends driving changes in how funds are serving investors. To find out what's on the minds of regulators and those in the industry, I'm talking to two experts from the Investment Company Institute. First, ICI General Counsel Susan Olson will fill us in on the agenda for funds at the US Securities and Exchange Commission, including… * Planned changes to the approval process for exchange traded funds. * SEC plans for modernizing shareholder report delivery. * And, potential changes to fund investor disclosure documents. Then compliance maven and ICI Associate General Counsel Tamara Salmon will fill us on all of the latest mega-trends affecting the fund compliance world, including how fund compliance professionals are… * Embracing technology to sort through large data pools. * Preparing their firms for compliance with the SEC's liquidity risk management program. * And, harnessing artificial intelligence and machine learning to increase efficiency.

Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast.  Susan and Tamara will join us for an hour to talk about the Top Compliance Trends and the SEC Agenda for Funds: What the Mutual Fund and ETF Industry is Watching. It’s a dynamic time in the world of fund compliance and regulation. Technology, innovation, and simplification are just a few of the big trends driving changes in how funds are serving investors. To find out what’s on the minds of regulators and those in the industry, I’m talking to two experts from the Investment Company Institute. First, ICI General Counsel Susan Olson will fill us in on the agenda for funds at the US Securities and Exchange Commission, including… * Planned changes to the approval process for exchange traded funds. * SEC plans for modernizing shareholder report delivery. * And, potential changes to fund investor disclosure documents. Then compliance maven and ICI Associate General Counsel Tamara Salmon will fill us on all of the latest mega-trends affecting the fund compliance world, including how fund compliance professionals are… * Embracing technology to sort through large data pools. * Preparing their firms for compliance with the SEC’s liquidity risk management program. * And, harnessing artificial intelligence and machine learning to increase efficiency. For More Info: Website: https://www.ici.org Facebook: https://www.facebook.com/ici.org Twitter: @ICI

Get beyond the eyeball grabbing headlines, the ever present three bullet summaries and hear some well thought out perspectives to help guide conversations and decisions in your workplace retirement plans.  Our guest today, Brian Reid, the Chief Economist at the Investment Company Institute or ICI, shares that goal and provides some great food for thought for you.  He addresses some recent stories you might have come across such as “Are 401(k) Plans A Failed Experiment”, and were “Employees Better off Under Pension Plans”.  He also provides some context on the other side of the conversation we had a few episodes ago about State Run Retirement Plans.  As I said in that episode, not everyone is convinced that they are ready for prime time.  Now, you may or may not agree with all of his points, but what I really appreciated is that Brian is armed with research, facts and he does a great job keeping the conversation engaging and thought provoking!   Guest Bio Brian K. Reid is chief economist at the Investment Company Institute (ICI). Reid oversees the Institute’s statistical collections and its research on the US and global funds, financial markets, US retirement market, and investor demographics. His research and analysis focuses on financial institutions and markets, investor trends, and the impact of regulation on funds, their investors, and the markets. Before joining the Institute, Reid worked as a staff economist in the Monetary Affairs Division at the Federal Reserve Board. Reid graduated from the University of Wisconsin–Madison with honors and holds a PhD in economics from the University of Michigan.    401(k) Fridays Podcast Overview Struggling with a fiduciary issue, looking for strategies to improve employee retirement outcomes or curious about the impact of current events on your retirement plan? We've had conversations with retirement industry leaders to address these and other relevant topics! You can easily explore over fifty prior on-demand audio interviews here. Don't forget to subscribe as we release a new episode each Friday!

Robert Pozen, a former chairman of MFS Investment Management, a noted author and a senior lecturer at Harvard Business School, speaks at "The 1940 Acts at 75: Reflecting on the Past, Present and Future Regulation of Investment Companies and Investment Advisers." Paul Schott Stevens ’78, president and CEO of the Investment Company Institute, offers introductory remarks. Sponsored by the Virginia Law & Business Review, the event was run in partnership with the Investment Company Institute and the John W. Glynn, Jr. Law & Business Program. (April 10, 2015, University of Virginia School of Law) More at http://www.law.virginia.edu/html/news/2015_spr/lawbusiness.htm

Daniel M. Gallagher, a commissioner of the U.S. Securities and Exchange Commission, delivers the keynote address at "The 1940 Acts at 75: Reflecting on the Past, Present and Future Regulation of Investment Companies and Investment Advisers." Sponsored by the Virginia Law & Business Review, the event was run in partnership with the Investment Company Institute and the John W. Glynn, Jr. Law & Business Program. (April 10, 2015, University of Virginia School of Law) More at http://www.law.virginia.edu/html/news/2015_spr/lawbusiness.htm

This week: Two features for the price of...well....nothing actually, but you get where I was going with it. First Richard talks to Attorney Scott Hodes, about his work with Christo and Jean-Claude, keeping public art programs honest, the Visual Artist Rights Act and more! Then BAS India correspondant and Fullbright Scholar Tanya Gill checks in with a report of the 2013 India Art Fair, and tells us why it is totally different than last years fair. Scott Hodes has been in active practice for more than four decades. As a corporate lawyer, he represents clients in sophisticated corporate transactions from structuring of corporate entities to financing at all levels from private placements to public offerings, and frequently, to counseling clients in merger and acquisition activities. He also handles complex financing transactions as counsel for a variety of large Chicago banks. Mr. Hodes also practices in the field of art law and represents a number of prominent artists, dealers and collectors in all aspects of their business. He has published three books on art and the law, and has written and spoken extensively on this subject. Mr. Hodes serves as a director of Richardson Electronics, Ltd. and a director emeritus of the Foundation of the Federal Bar Association in Washington, D.C. In 2007, he was elected a director of the Chicago Bar Foundation. He is a founding member and former chairman of the planning committee for the annual Mutual Funds and Investment Management Conference now sponsored by the Investment Company Institute. Mr. Hodes is a recognized leader in metropolitan Chicago’s business community. Long active in bar, civic and political affairs, he was elected to serve three terms on the Democratic State Central Committee (1970-1982). He has served as co-chairman of the Illinois Attorney General’s Advisory Commission and as chairman of Chicago’s Navy Pier Development Authority from 1988 to 1990. He has served as principal outside counsel to the Arts in Embassies Program of the U.S. State Department from 1991 to 1993. He was co-chairman of the Private Enterprise Review and Advisory Board of the State of Illinois from 1992 to 1994, and was appointed in 1994 by the governor and served as a member of the State of Illinois Savings Board until 2010. Mr. Hodes was the national chairman of LAWBOOKS, U.S.A., a program sponsored by the United States Information Agency, and served as a member of the U.S. State Department’s Advisory Committee on Investment, Technology and Development. He was counsel to The Harold Washington Foundation. Mr. Hodes is a founder and past president and a director of The Lawyers for the Creative Arts. He serves as a trustee and member of the Executive Committee of the National Museum of Mexican Art in Chicago, a director of the Chicagoland Chamber of Commerce, and as a consultant to the Frank Lloyd Wright Foundation. Tanya Hastings Gill has mastered the age-old art of paper cutting in a contemporary context. She utilizes reflective color, shadows and open installation to engage the space with her hand cut paper creations. Gill has been a fellow at McDowell Artists Colony, an Artist in Residence at The Ragdale Foundation, an Affiliate at Headlands Center for the Arts and a recipient of the Individual Artist Grant from the Marin Arts Council. In 1997 she received her MFA from Cranbrook Academy of Art and in 1992 her BFA from the School of the Art Institute of Chicago. Tanya Gill is a devoted teacher of visual art. She has taught at the California State University of Sacramento, California; Randolph-Macon College in Ashland, Virginia; and at the School of the Art Institute of Chicago’s Contemporary Practices Department.          Tanya Gill has been awarded the Nehru-Fulbright 2011-12 Scholarship to conduct research and evolve her own artwork. Her focus is the intersection of Indian Contemporary Art and Handicraft. She is currently living in New Delhi, India, with her family. **Please note, Atty. Hodes bio and headshot were perilously lifted from the Bryan Cave LLP website. Yes, we know we should have called and asked and yes, we know you could squash us like bugs. It's 1:23 a.m. early Monday morning, we decided you'd rather sleep. Besides, we love you fine folks at Bryan Cave LLP. http://www.bryancave.com/scotthodes/ Don't hurt us. If you need a sacrificial offering we'll send Duncan over post haste.

"Zicklin School of Business at Baruch College presents ""The Quality of Our Financial Markets: Taking Stock of Where We Stand"" as part of the Financial Markets Conferences on October 19, 2010 at the Baruch College Vertical Campus, 14th Floor. [Part I: 83 Min.] Opening Remarks by Robert Schwartz, Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY Welcoming Remarks by Mitchel Wallerstein, President, Baruch College, CUNY Panel One: High Frequency Trading: Friend or Foe? Jim Gatheral (Moderator), Professor, Weissman School of Arts and Sciences, Baruch College, CUNY; Ari Burstein, Senior Counsel - Securities Regulation, Investment Company Institute; Kevin Callahan, CEO, X41 Trading, LLC.; Charles-Albert Lehalle, Head of Quantitative Research, CA Cheuvreux Credit Agricole Investment Bank; Doreen Mogavero, President & CEO, Mogavero, Lee & Company; Lawrence Ryan, Chief Technologist, Hewlett-Packard; Cameron Smith, Executive Vice President, General Counsel, Quantlab Financial, LLC. [Part II: 39 Min.] Mid-Day Address by Reto Francioni , CEO, Deutsche Börse AG [Part III: 82 Min.] Panel Two: May 6: Lessons Learned and Questions Raised Andrew Brooks (Moderator), Vice President and Head of U.S. Equity Trading, T. Rowe Price Associates, Inc.; Robert Gasser, CEO, ITG; Susan Greenglass, Director Market Regulation, Ontario Securities Commission; Gary Katz, President & CEO, International Securities Exchange; Tim Mahoney, CEO, BIDS Trading; Joe Mecane, EVP, Co-Head of US Listing and Cash Execution, NYSE Euronext; William O'Brien, CEO, Direct Edge. [Part IV: 65 Min.] Panel Three: The Needs of the Buyside: How Well are They Being Met? Rob Shapiro (Moderator), Global Head of Execution Consulting, Bloomberg Tradebook LLC.; Alfred Eskandar, Head of Equities, Liquidnet; Alan Hill, CFO, Jones Trading Institutional Services; Marie Konstance, Executive Director, Nomura Securities International, Inc.; Matt Lyons, Global Trading Manager, Capital Research and Management Company; Mary McDermott-Holland, VP - Transaction Services, NASDAQ OMX. [Part V: 80 Min.] Panel Four: New Technology: What Does it Bring to the Table? Marcus Hooper (Moderator), Head of European Business & Executive Director, Pipeline Financial Group Ltd.; Stuart Adams, FPL EMEA Regional Director, FIX Protocol Ltd.; Paul Britton, CEO, Capstone Holdings Group; Joseph Cangemi, Managing Director, ConvergEx; Jim Ross, CEO, Financial Markets Horizons; Justin Schack, Director of Market Structure Analysis, Rosenblatt Securities, Inc.; Joseph Wald, Managing Director, Knight Direct LLC. Closing Address by Richard, Ketchum, Chairman and CEO, FINRA"

"Zicklin School of Business at Baruch College presents ""The Quality of Our Financial Markets: Taking Stock of Where We Stand"" as part of the Financial Markets Conferences on October 19, 2010 at the Baruch College Vertical Campus, 14th Floor. [Part I: 83 Min.] Opening Remarks by Robert Schwartz, Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY Welcoming Remarks by Mitchel Wallerstein, President, Baruch College, CUNY Panel One: High Frequency Trading: Friend or Foe? Jim Gatheral (Moderator), Professor, Weissman School of Arts and Sciences, Baruch College, CUNY; Ari Burstein, Senior Counsel - Securities Regulation, Investment Company Institute; Kevin Callahan, CEO, X41 Trading, LLC.; Charles-Albert Lehalle, Head of Quantitative Research, CA Cheuvreux Credit Agricole Investment Bank; Doreen Mogavero, President & CEO, Mogavero, Lee & Company; Lawrence Ryan, Chief Technologist, Hewlett-Packard; Cameron Smith, Executive Vice President, General Counsel, Quantlab Financial, LLC. [Part II: 39 Min.] Mid-Day Address by Reto Francioni , CEO, Deutsche Börse AG [Part III: 82 Min.] Panel Two: May 6: Lessons Learned and Questions Raised Andrew Brooks (Moderator), Vice President and Head of U.S. Equity Trading, T. Rowe Price Associates, Inc.; Robert Gasser, CEO, ITG; Susan Greenglass, Director Market Regulation, Ontario Securities Commission; Gary Katz, President & CEO, International Securities Exchange; Tim Mahoney, CEO, BIDS Trading; Joe Mecane, EVP, Co-Head of US Listing and Cash Execution, NYSE Euronext; William O'Brien, CEO, Direct Edge. [Part IV: 65 Min.] Panel Three: The Needs of the Buyside: How Well are They Being Met? Rob Shapiro (Moderator), Global Head of Execution Consulting, Bloomberg Tradebook LLC.; Alfred Eskandar, Head of Equities, Liquidnet; Alan Hill, CFO, Jones Trading Institutional Services; Marie Konstance, Executive Director, Nomura Securities International, Inc.; Matt Lyons, Global Trading Manager, Capital Research and Management Company; Mary McDermott-Holland, VP - Transaction Services, NASDAQ OMX. [Part V: 80 Min.] Panel Four: New Technology: What Does it Bring to the Table? Marcus Hooper (Moderator), Head of European Business & Executive Director, Pipeline Financial Group Ltd.; Stuart Adams, FPL EMEA Regional Director, FIX Protocol Ltd.; Paul Britton, CEO, Capstone Holdings Group; Joseph Cangemi, Managing Director, ConvergEx; Jim Ross, CEO, Financial Markets Horizons; Justin Schack, Director of Market Structure Analysis, Rosenblatt Securities, Inc.; Joseph Wald, Managing Director, Knight Direct LLC. Closing Address by Richard, Ketchum, Chairman and CEO, FINRA"

"Zicklin School of Business at Baruch College presents ""The Quality of Our Financial Markets: Taking Stock of Where We Stand"" as part of the Financial Markets Conferences on October 19, 2010 at the Baruch College Vertical Campus, 14th Floor. [Part I: 83 Min.] Opening Remarks by Robert Schwartz, Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY Welcoming Remarks by Mitchel Wallerstein, President, Baruch College, CUNY Panel One: High Frequency Trading: Friend or Foe? Jim Gatheral (Moderator), Professor, Weissman School of Arts and Sciences, Baruch College, CUNY; Ari Burstein, Senior Counsel - Securities Regulation, Investment Company Institute; Kevin Callahan, CEO, X41 Trading, LLC.; Charles-Albert Lehalle, Head of Quantitative Research, CA Cheuvreux Credit Agricole Investment Bank; Doreen Mogavero, President & CEO, Mogavero, Lee & Company; Lawrence Ryan, Chief Technologist, Hewlett-Packard; Cameron Smith, Executive Vice President, General Counsel, Quantlab Financial, LLC. [Part II: 39 Min.] Mid-Day Address by Reto Francioni , CEO, Deutsche Börse AG [Part III: 82 Min.] Panel Two: May 6: Lessons Learned and Questions Raised Andrew Brooks (Moderator), Vice President and Head of U.S. Equity Trading, T. Rowe Price Associates, Inc.; Robert Gasser, CEO, ITG; Susan Greenglass, Director Market Regulation, Ontario Securities Commission; Gary Katz, President & CEO, International Securities Exchange; Tim Mahoney, CEO, BIDS Trading; Joe Mecane, EVP, Co-Head of US Listing and Cash Execution, NYSE Euronext; William O'Brien, CEO, Direct Edge. [Part IV: 65 Min.] Panel Three: The Needs of the Buyside: How Well are They Being Met? Rob Shapiro (Moderator), Global Head of Execution Consulting, Bloomberg Tradebook LLC.; Alfred Eskandar, Head of Equities, Liquidnet; Alan Hill, CFO, Jones Trading Institutional Services; Marie Konstance, Executive Director, Nomura Securities International, Inc.; Matt Lyons, Global Trading Manager, Capital Research and Management Company; Mary McDermott-Holland, VP - Transaction Services, NASDAQ OMX. [Part V: 80 Min.] Panel Four: New Technology: What Does it Bring to the Table? Marcus Hooper (Moderator), Head of European Business & Executive Director, Pipeline Financial Group Ltd.; Stuart Adams, FPL EMEA Regional Director, FIX Protocol Ltd.; Paul Britton, CEO, Capstone Holdings Group; Joseph Cangemi, Managing Director, ConvergEx; Jim Ross, CEO, Financial Markets Horizons; Justin Schack, Director of Market Structure Analysis, Rosenblatt Securities, Inc.; Joseph Wald, Managing Director, Knight Direct LLC. Closing Address by Richard, Ketchum, Chairman and CEO, FINRA"

"Zicklin School of Business at Baruch College presents ""The Quality of Our Financial Markets: Taking Stock of Where We Stand"" as part of the Financial Markets Conferences on October 19, 2010 at the Baruch College Vertical Campus, 14th Floor. [Part I: 83 Min.] Opening Remarks by Robert Schwartz, Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY Welcoming Remarks by Mitchel Wallerstein, President, Baruch College, CUNY Panel One: High Frequency Trading: Friend or Foe? Jim Gatheral (Moderator), Professor, Weissman School of Arts and Sciences, Baruch College, CUNY; Ari Burstein, Senior Counsel - Securities Regulation, Investment Company Institute; Kevin Callahan, CEO, X41 Trading, LLC.; Charles-Albert Lehalle, Head of Quantitative Research, CA Cheuvreux Credit Agricole Investment Bank; Doreen Mogavero, President & CEO, Mogavero, Lee & Company; Lawrence Ryan, Chief Technologist, Hewlett-Packard; Cameron Smith, Executive Vice President, General Counsel, Quantlab Financial, LLC. [Part II: 39 Min.] Mid-Day Address by Reto Francioni , CEO, Deutsche Börse AG [Part III: 82 Min.] Panel Two: May 6: Lessons Learned and Questions Raised Andrew Brooks (Moderator), Vice President and Head of U.S. Equity Trading, T. Rowe Price Associates, Inc.; Robert Gasser, CEO, ITG; Susan Greenglass, Director Market Regulation, Ontario Securities Commission; Gary Katz, President & CEO, International Securities Exchange; Tim Mahoney, CEO, BIDS Trading; Joe Mecane, EVP, Co-Head of US Listing and Cash Execution, NYSE Euronext; William O'Brien, CEO, Direct Edge. [Part IV: 65 Min.] Panel Three: The Needs of the Buyside: How Well are They Being Met? Rob Shapiro (Moderator), Global Head of Execution Consulting, Bloomberg Tradebook LLC.; Alfred Eskandar, Head of Equities, Liquidnet; Alan Hill, CFO, Jones Trading Institutional Services; Marie Konstance, Executive Director, Nomura Securities International, Inc.; Matt Lyons, Global Trading Manager, Capital Research and Management Company; Mary McDermott-Holland, VP - Transaction Services, NASDAQ OMX. [Part V: 80 Min.] Panel Four: New Technology: What Does it Bring to the Table? Marcus Hooper (Moderator), Head of European Business & Executive Director, Pipeline Financial Group Ltd.; Stuart Adams, FPL EMEA Regional Director, FIX Protocol Ltd.; Paul Britton, CEO, Capstone Holdings Group; Joseph Cangemi, Managing Director, ConvergEx; Jim Ross, CEO, Financial Markets Horizons; Justin Schack, Director of Market Structure Analysis, Rosenblatt Securities, Inc.; Joseph Wald, Managing Director, Knight Direct LLC. Closing Address by Richard, Ketchum, Chairman and CEO, FINRA"

"Zicklin School of Business at Baruch College presents ""The Quality of Our Financial Markets: Taking Stock of Where We Stand"" as part of the Financial Markets Conferences on October 19, 2010 at the Baruch College Vertical Campus, 14th Floor. [Part I: 83 Min.] Opening Remarks by Robert Schwartz, Speiser Professor of Finance, Zicklin School of Business, Baruch College, CUNY Welcoming Remarks by Mitchel Wallerstein, President, Baruch College, CUNY Panel One: High Frequency Trading: Friend or Foe? Jim Gatheral (Moderator), Professor, Weissman School of Arts and Sciences, Baruch College, CUNY; Ari Burstein, Senior Counsel - Securities Regulation, Investment Company Institute; Kevin Callahan, CEO, X41 Trading, LLC.; Charles-Albert Lehalle, Head of Quantitative Research, CA Cheuvreux Credit Agricole Investment Bank; Doreen Mogavero, President & CEO, Mogavero, Lee & Company; Lawrence Ryan, Chief Technologist, Hewlett-Packard; Cameron Smith, Executive Vice President, General Counsel, Quantlab Financial, LLC. [Part II: 39 Min.] Mid-Day Address by Reto Francioni , CEO, Deutsche Börse AG [Part III: 82 Min.] Panel Two: May 6: Lessons Learned and Questions Raised Andrew Brooks (Moderator), Vice President and Head of U.S. Equity Trading, T. Rowe Price Associates, Inc.; Robert Gasser, CEO, ITG; Susan Greenglass, Director Market Regulation, Ontario Securities Commission; Gary Katz, President & CEO, International Securities Exchange; Tim Mahoney, CEO, BIDS Trading; Joe Mecane, EVP, Co-Head of US Listing and Cash Execution, NYSE Euronext; William O'Brien, CEO, Direct Edge. [Part IV: 65 Min.] Panel Three: The Needs of the Buyside: How Well are They Being Met? Rob Shapiro (Moderator), Global Head of Execution Consulting, Bloomberg Tradebook LLC.; Alfred Eskandar, Head of Equities, Liquidnet; Alan Hill, CFO, Jones Trading Institutional Services; Marie Konstance, Executive Director, Nomura Securities International, Inc.; Matt Lyons, Global Trading Manager, Capital Research and Management Company; Mary McDermott-Holland, VP - Transaction Services, NASDAQ OMX. [Part V: 80 Min.] Panel Four: New Technology: What Does it Bring to the Table? Marcus Hooper (Moderator), Head of European Business & Executive Director, Pipeline Financial Group Ltd.; Stuart Adams, FPL EMEA Regional Director, FIX Protocol Ltd.; Paul Britton, CEO, Capstone Holdings Group; Joseph Cangemi, Managing Director, ConvergEx; Jim Ross, CEO, Financial Markets Horizons; Justin Schack, Director of Market Structure Analysis, Rosenblatt Securities, Inc.; Joseph Wald, Managing Director, Knight Direct LLC. Closing Address by Richard, Ketchum, Chairman and CEO, FINRA"

In this podcast we present brief excerpts of comments made at the Investment Company Institute's General Membership Meeting in Washington in May. Speakers were John Byrne, executive editor of BusinessWeek Gordon Crovitz, publisher of The Wall Street Journal. Download the podcast here (6.34 mb stereo MP3 file, 00:04:34 duration).