U.S. securities regulators Tuesday issued an investor alert highlighting the risks of holding leveraged and inverse exchange-traded funds for extended periods.
The alert from the Financial Industry Regulatory Authority and the Securities and Exchange Commission warns retail investors of the risks associated with these products. It notes that unlike traditional ETFs, most leveraged and inverse ETFs reset daily, and they are designed to achieve their objectives on a daily basis.
“Their performance over longer periods of time — over weeks, months or years — can differ significantly from the performance (or inverse of the performance) of their underlying index or benchmark during the same period of time,” it notes. Moreover, this effect can be magnified in volatile markets, they warn.
The SEC and FINRA are advising investors “to consider leveraged and inverse ETFs only if they are confident the product can help meet their investment objectives and they are knowledgeable about and comfortable with the risks associated with these specialized ETFs. Because these products are complex and can be confusing, investors should consider seeking the advice of an investment professional who understands these products, can explain whether or how they fit with the individual investor’s objectives, and who is willing to monitor the specialized ETF’s performance for his or her customers.”
“Not all ETFs are created equal,” said John Gannon, FINRA senior vice president for investor education. “Over time, leveraged and inverse ETFs can deviate substantially from the performance of the underlying benchmark, particularly in volatile periods. They are highly complex financial instruments that can turn into a minefield for buy-and-hold investors.”
At least one prominent brokerage house in the US has declared that it will not sell these products on a solicited basis, and investor advocates in Canada have been raising concerns about them, too.
Howard Atkinson, president of BetaPro Management Inc. – the only provider of leveraged and inverse ETFs based in Canada – agrees with the U.S. regulators’ point that investors should be knowledgeable on the products before investing in them.
“We’re all about education. We’re all about making sure that the end user – and advisors – understand not only our products, but we believe they should understand any product before they’re using them, and that they’re suitable given the investor objectives and risk profile,” Atkinson said.
He added that the products should be monitored continuously as they are held. Investors who lack the sufficient knowledge, time and passion for investing should consider consulting a financial advisor before investing in leveraged and inverse ETFs, as the U.S. regulators recommend, according to Atkinson.
“If the investor doesn’t have those three ingredients, then they probably should seek financial advice and investment counsel to manage those affairs for them,” he said.
FINRA, SEC warn retail investors about leveraged or inverse ETFs
Investors should consider seeking the advice of an advisor, regulators say
- By: James Langton
- August 18, 2009 August 18, 2009
- 15:10