Neil Gross – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Sun, 10 Nov 2019 21:13:35 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Neil Gross – Investment Executive https://www.investmentexecutive.com 32 32 Be bold, regulators https://www.investmentexecutive.com/inside-track_/neil-gross/be-bold-regulators/ Mon, 31 Oct 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/be-bold-regulators/ Those still timorous and uncertain about introducing a best interest duty have a duty, themselves, to become decisive

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]]> Non-GAAP metrics: investors’ little helpers or harmful nonsense? https://www.investmentexecutive.com/inside-track_/neil-gross/non-gaap-metrics-investors-little-helpers-or-harmful-nonsense/ Mon, 03 Oct 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/non-gaap-metrics-investors-little-helpers-or-harmful-nonsense/ Every company can calculate non-GAAP metrics however they want, so there’s real risk of investors and markets being misled

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]]> Class dismissed https://www.investmentexecutive.com/inside-track_/neil-gross/class-dismissed/ Tue, 06 Sep 2016 14:00:00 +0000 https://www.investmentexecutive.com/uncategorized/class-dismissed/ Overcautious courts are erecting barriers to securities class actions, even though these lawsuits are essential for maintaining the integrity and fairness of our capital markets

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]]> Why is deficient issuer disclosure allowed to persist? https://www.investmentexecutive.com/inside-track_/neil-gross/why-is-deficient-issuer-disclosure-allowed-to-persist/ Mon, 08 Aug 2016 11:30:00 +0000 https://www.investmentexecutive.com/uncategorized/why-is-deficient-issuer-disclosure-allowed-to-persist/ Data show that investors routinely receive, or are at risk of receiving, seriously bad disclosure from reporting issuers more than a quarter of the time

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]]> If equity crowdfunding is a dud, let it die https://www.investmentexecutive.com/inside-track_/neil-gross/if-equity-crowdfunding-is-a-dud-let-it-die/ Mon, 11 Jul 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/if-equity-crowdfunding-is-a-dud-let-it-die/ The trickle of interest in the U.S. has prompted some lawmakers there to conclude that the design of the exemption must have been bungled

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]]> Who benefits and who loses from keeping OBSI toothless? https://www.investmentexecutive.com/inside-track_/neil-gross/who-benefits-and-who-loses-from-keeping-obsi-toothless/ Mon, 13 Jun 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/who-benefits-and-who-loses-from-keeping-obsi-toothless/ A new independent report makes it clear that binding decisions are needed for full and fair compensation

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]]> Investment professional or faux pro: Which will you be? https://www.investmentexecutive.com/inside-track_/neil-gross/investment-professional-or-faux-pro-which-will-you-be/ Mon, 16 May 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/investment-professional-or-faux-pro-which-will-you-be/ It’s time for advisors who want to be true professionals to make their voices heard in support of some real reforms

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]]> The case for robo-reciprocity https://www.investmentexecutive.com/inside-track_/neil-gross/the-case-for-robo-reciprocity/ Mon, 18 Apr 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/the-case-for-robo-reciprocity/ Reciprocal enforcement of disciplinary orders is a practical way to reduce problems caused by regulatory fragmentation, but it needs to be comprehensive and automatic

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]]> Fraud prevention requires detention https://www.investmentexecutive.com/inside-track_/neil-gross/fraud-prevention-requires-detention/ Mon, 21 Mar 2016 10:00:00 +0000 https://www.investmentexecutive.com/uncategorized/fraud-prevention-requires-detention/ Deterrence is the key ingredient, but it won’t be achieved through fines and public education

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]]> Science-denying tactics will do the mutual fund industry no good https://www.investmentexecutive.com/inside-track_/neil-gross/science-denying-tactics-will-do-the-mutual-fund-industry-no-good/ Mon, 22 Feb 2016 11:00:00 +0000 https://www.investmentexecutive.com/uncategorized/science-denying-tactics-will-do-the-mutual-fund-industry-no-good/ As regulators enter the final stage of deciding the fate of trailing commissions, they rightly insist on real evidence-based analysis

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