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Sales & Marketing


Canadian Mutual Fund Stalwarts IGM, AGF Join Growing ETF Parade

Long-time Canadian asset managers including IGM Financial’s Mackenzie Investments, AGF Management and CI Financial announced plans to offer ETFs in the past month.

Virtus Settles False Advertising Charges for $16.5M

Settling charges that it had used false performance claims regarding an ETF-linked strategy, Virtus Investment Advisers agreed to pay the SEC $16.5 million in penalties.

8 Ways Marketers Can Engage Portfolio Managers

Portfolio manager participation in the sales and marketing effort is a good thing, but at many firms marketing is not really the portfolio manager's job.

BlackRock Cuts Fees on Seven ‘Core’ ETFs as Competition Heats Up

BlackRock cut fees on seven U.S. listed ETFs aimed at price-conscious investors, as competition for market share heats up.

In India, Amazon Could Be Approved to Sell Mutual Funds

Indian regulators plan to allow online marketplaces such as Flipkart and to offer funds alongside other products



Educational Initiatives: Driving Engagement and Asset Growth

As the mutual fund universe becomes more crowded and the strategies offered to investors become more complex, fund managers are under pressure to further differentiate themselves and their brands from the competition. One way to stand out is to make investor and financial intermediary education a key element of any communications plan to drive brand awareness and asset growth. …

Executive Briefing

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities. This came after Bureau investigators found the company was in violation of state securities laws and regulations in its sale of non-traditional exchange-traded funds to investors.

Funds Find New Ways to Woo Shareholders

Finding ways to reach shareholders with an appropriate message and choosing the medium to do so consumes the resources of many a fund company. Firms need to communicate bad news to shareholders in a gentle manner, trumpet the good news and economize the delivery of mandated disclosure information.

JOBS Act Decision - Transforming or Trivial?

Views are mixed on the impact of the recent Securities and Exchange Commission decision to lift the general solicitation ban on private securities offerings.

Embrace Multimedia To Attract Millennial Clients

The members of Generation Y, also known as "millennials," have vastly different backgrounds and expectations than the generations before them. Today's 20-somethings can't remember a time without smartphones or the ability to access the information most important to them whenever they need it. It would be easy for some mutual fund managers to assume that millennials lack the same mindset or appetite for risk when it comes to investing and saving than previous generations, and view attracting them to mutual funds as a Herculean task. However, both of these assumptions are false. If managers embrace the technology and engagement with companies they trust that millennials have grown up with, they can successfully grow their assets by appealing to this relatively untapped investor base.