Asset Management Fundamentals
These Asset Management Fundamentals explain common aspects of how asset managers operate.
While some aspects are universal, such as the fiduciary relationship between an adviser and a client, other aspects differ from manager to manager – such as how they make investment decisions and provide services to their clients. These short educational papers help explain the basics and address common questions and misperceptions.
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The Investment Adviser Agent-Principal Relationship
Investment advisers earn compensation by providing advice about investing in securities to others. In the United States, investment advisers are registered with the Securities and Exchange Commission (“SEC”) or an alternative federal or state regulator depending on size and business activities.
Index v. Active v. Activist - Three Different Approaches to Investing
Asset managers help investors meet their economic goals and objectives. They provide investing advice and guidance. Asset managers invest on behalf of their clients through individual accounts or funds.
The Role of Indices in Asset Management
Indices play a fundamental role in the investing world, informing investment strategies, serving as benchmarks, and aiding in performance evaluation. Understanding the different types of indices, their attributes, and how they are constructed and maintained allows for a better understanding of how investors and advisers make use of indices.
Proxy Voting - How Investors Engage with the Companies They Own
Publicly traded companies hold shareholder meetings at which key issues are presented to a shareholder vote. Proxy voting enables the company’s shareholders to submit their votes on each matter without attending the meeting in person.