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Top Compliance Challenges Financial Advisors Face

BlueMind

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

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What Are the Best Asset Classes for Active Management?

Wealth Management

The ETF structure then evolved with the advent of active ETFs in 2008, the first one coming out of Bear Stearns, which went under that same year. The first exchange traded fund came along in 1990 in Canada, with the Toronto 35 Index Participation Units. soon followed in 1993 with the SPDR S&P 500 Trust (SPY).

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RIA Edge Podcast: Schwab’s Jalina Kerr on How Resilient RIAs Can Turn Market Volatility Into Growth

Wealth Management

But similar to the Great Financial Crisis of 2008, fiduciary advisors can use this opportunity to assert their value and give clients confidence that their broader financial plans aren’t as negatively impacted as they may think, given the daily doom-and-gloom market headlines. Number 8860726.

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Market Commentary: S&P 500 Approaching All-Time High but US Economic Momentum Slowing

Carson Wealth

Other years that saw big returns after down days were 2003, 2008, 2009, 2020, and of course now. Yes, 2008 was a horrible year for stocks, but those other three years all were solid years after hiccups in the first quarter. Since 1980, only 2020 would be better than 2025 so far.

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Market Commentary: Seasonal Tailwinds Ahead, but First an Election

Carson Wealth

The last time the S&P 500 fell more than 1% in November was in 2008, and it has been higher 11 of the past 12 years. Compliance Case # 02490965_110424_C The post Market Commentary: Seasonal Tailwinds Ahead, but First an Election appeared first on Carson Wealth.

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Market Commentary: Good Riddance February, Hello March

Carson Wealth

Those other times we saw fear similar to this were times like the recession and near bear market of 1990, October 2008 and March 2009 during the Great Financial Crisis, and the end of the bear market in 2022. Heres the catch. But we looked at all the times bears spiked above 55%, to get a larger sample size.

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Market Commentary: Best Calendar Month Over the Last 20 Years Holding True

Carson Wealth

Not exactly weak (the hiring rate collapsed below 3% during the 2008-2009 recession), but not too hot either. That is why there’s really no such thing as a mild recession — the three recessions prior to the pandemic recession (1991, 2001, 2008-2009) were all bad from an employment perspective, as it took years for the labor market to recover.