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Journal articles on the topic 'Financial advisory'
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1
Hargreaves-Heap, Shaun, and Oleksandr Talavera. "Efficiency in the Market for Financial Advisory Services to Businesses." Visnyk of the National Bank of Ukraine, no. 246 (December 28, 2018): 34–49. http://dx.doi.org/10.26531/vnbu2018.246.034.
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This paper considers whether company decisions on their advisors promote efficiency in the market for business advisory services. We employ a fixed effects measure of advisor quality and find that no fine-grained measure of performance seems to influence separation and hiring decisions. We do find that, under a rule of thumb measure of advisor performance, firms are more likely to ditch “bad” and “neutral” advisors than “good” ones. Unfortunately, using the same rule of thumb measure, firms appear no more likely to hire “good” quality new advisors than could be expected by chance. As a result, in less than 10% of all separations, the new hire yields an improvement in advisor quality. In short, there is a substantial amount of movement in the market with no benefit.
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Mitek, Łukasz Maciej. "Household financial planning with financial advisory assistance." Współczesne Finanse. Teoria i Praktyka 1 (2016): 73–82. http://dx.doi.org/10.18276/wf.2016.1-07.
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Venter, J. M. P. "Are South African financial advisor addressing the estate planning objectives that are important to their client?" Risk Governance and Control: Financial Markets and Institutions 4, no. 2 (2014): 125–31. http://dx.doi.org/10.22495/rgcv4i2c1art5.
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Estate planning is an important aspect of any effective financial plan. When preparing an estate plan several objectives identified by the individual planner, as well as several pieces of legislation have to be considered. In South Africa the actions of financial advisors are regulated by the Financial Advisory and Intermediary Services Act. The act aims to ensure that the financial advisor act in the best interest of his / her client. If the act meets its set objectives there will be an alignment of objectives set by a financial advisor and his / her client. This study investigates the existence of an expectation gap between the estate planning objectives considered to be important by the financial advisor and the importance allocated to these factors by the clients. The study found that there was an expectation gap for three of the objectives that should be considered in the estate plan.
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Colby, Eben, Thomas DeCapo, Kenneth Burdon, and Aaron Morris. "What can mutual fund boards and advisers learn from the AXA trial ruling?" Journal of Investment Compliance 18, no. 1 (May 2, 2017): 58–62. http://dx.doi.org/10.1108/joic-02-2017-0015.
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Purpose To analyze the August 2016 court decision in Sivolella v. AXA Equitable Life Ins. Co. and its implications for cases concerning mutual fund advisory fees under Section 36(b) of the of the Investment Company Act of 1940. Design/methodology/approach Discusses Section 36(b), the plaintiffs’ arguments and the judge’s decision in favor of the mutual fund adviser. Provides insights from the judge’s analysis of the advisory fees at issue, including the independence of the mutual fund board and quality of the annual advisory contract renewal process, whether the language of the advisory and subadvisory agreements fully reflects the nature and extent of services provided, the board’s reliance on outside experts and advisers when considering the advisers’ fees and services, and continuous improvements in the boards’ annual advisory contract renewal process. Findings AXA was a decisive victory for the adviser, and serves as a reminder to boards and advisers alike that a diligent focus on board process and independence can pay twofold after litigation is filed. Practical implications Boards and advisers should consider AXA’s implications, and whether the decision raises issues that should be reviewed by independent counsel with experience advising funds and advisers with respect to the Investment Company Act. Originality/value Practical guidance from experienced financial services lawyers.
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Slezáková, Andrea. "The License To Perform The Activity Of A Finacial Advisor." Studia Commercialia Bratislavensia 12, no. 42 (December 1, 2019): 256–63. http://dx.doi.org/10.2478/stcb-2019-0022.
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Abstract Financial advisory is a business activity connected with the financial market. Financial advisors grant services to their clients in order to help them to find a proper financial product. Due to this fact and the resposibility that is linked to this kind of entrepreneurship interference from the side of the state is needed. This is given not only by the regulation, but also through supervision of financial advisors performed by the National Bank of Slovakia. The independ central bank is subject intending to start this kind of business meets all the conditions set by law. The license to perform the activity of a financial advisor is an individual administrative act, a decision of the National Bank of Slovakia, issued in the proceeding in supervisory matters pursuant to Part Three of the Act No. 747/2004 Coll. On Financial Market Supervision Amending and Supplementing Certain Acts as amended.
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Pal, Abhinav, Shalini Singh Sharma, and Kriti Priya Gupta. "The Role of Analytics and Robo-Advisory in Investors' Financial Decisions and Risk Management." International Journal of Business Analytics 8, no. 2 (April 2021): 46–62. http://dx.doi.org/10.4018/ijban.2021040104.
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The global financial world has been experiencing increasing complexities in the design and construct of financial instruments, wherein the average retail investors need to be well informed and aware of the risks about the evolution of financial products and financial system. The global financial crisis of 2008-2009 is evident to the fact that traditional methods of financial advisory involving the use of human intermediaries and financial advisors is not an infallible method to determine one's financial decision or risk management. Almost a decade since the crisis, the advancement of financial technology in the form of robo-advisors and the use of data and visual analytics have completely transformed the way the retail investors make their financial decisions and also in the sphere of risk management of these investors. The study qualitatively analyses the use of the use of analytics and robo-advisory in determining retail investors' financial decisions and risk management by doing a systematic and an exhaustive literature review on the latest and the past studies on the topic.
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Slezáková, Andrea. "Performing the Activities of the Commercial Investment Advisor in Austria and of the Financial Advisor in Slovakia." Studia Commercialia Bratislavensia 13, no. 43 (March 1, 2020): 63–72. http://dx.doi.org/10.2478/stcb-2020-0003.
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Abstract Financial advisory means providing advice concerning various financial products such as loans, insurance and investments. The commercial investment advisor and the financial advisor develop individual analyses and concepts for their clients, in the sense of a comprehensive financial planning, about the type, construction, protection, maintenance, retention and possible uses of assets and financing. They respond to the special needs of their customers. Despite these common elements, there exist important distinctions in the regulation of the commercial investment advisor in Austria and of the financial advisor in Slovakia.
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Galloway, Jackson, and Nicole Griffin. "SEC settles with adviser over failure to consider account aggregation requests in applying fee breakpoint discounts." Journal of Investment Compliance 15, no. 3 (August 26, 2014): 32–34. http://dx.doi.org/10.1108/joic-07-2014-0028.
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Purpose – To review SEC enforcement action taken against an adviser over: failure to grant advisory fee breakpoint discounts based on the aggregation of related accounts requested by clients and related deficiencies in the adviser’s administration of the account aggregation feature. Design/methodology/approach – Review and summarize the SEC’s finding’s regarding the adviser’s advisory fee breakpoint discount program, deficiencies in the program identified in SEC examinations, resulting violations of the Investment Advisers Act and its rules, the adviser’s remedial efforts and undertakings, and the sanctions imposed. Findings – This settlement provides an important reminder for registered investment advisers of the need to fully address deficiencies identified in SEC examinations and of the attention paid by SEC inspection staff to client fees as a core examination area. Originality/value – Practical explanation from experienced financial services lawyers.
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Chandani, Arti, Sriharshitha S., Ankita Bhatia, Rizwana Atiq, and Mita Mehta. "Robo-Advisory Services in India." International Journal of Cloud Applications and Computing 11, no. 4 (October 2021): 152–73. http://dx.doi.org/10.4018/ijcac.2021100109.
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The transcendence of automated digital services is challenging already established financial advisory services. Robo-advisory is gaining popularity where human touch is missing while making the investment decision. The present study is aimed to understand the awareness of robo-advisors amongst millennials in India along with their perception towards robo-advisory services. A self-administered questionnaire was sent out to the college students, and 288 college students responded to this. The responses were analysed using independent sample t-test, Anova, and factor analysis using IBM SPSS 22. The findings indicate that there is a lack of awareness about robo-advisors amongst college students. Measures should be taken by universities and colleges to include this as a part of the syllabus along with industry-academia partnership to create awareness as these students will be earning and investing in the next 1-3 years.
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Slezáková, Andrea. "Entering into the Register of Providers of Special Financial Education." Studia Commercialia Bratislavensia 12, no. 41 (June 1, 2019): 102–8. http://dx.doi.org/10.2478/stcb-2019-0010.
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Abstract Special financial education is one of the components of a professional competence. The purpose of the regulation is to provide knowledge and skills to individuals so that the minimum requirements of the law are met, given the complexity and scope of the activities performed by financial agents and financial advisors. Objective of the special financial education is to form and deepen information related to regulation in the sector in which financial intermediation or financial advisory will be carry out.
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Hermansson, Cecilia. "Saving motives, gender, and the use of financial advisory services." Managerial Finance 43, no. 11 (November 13, 2017): 1202–23. http://dx.doi.org/10.1108/mf-07-2016-0217.
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Purpose The purpose of this paper is to understand if and how saving motives can predict bank customers’ use of financial advisory services. In addition, it analyzes possible gender differences regarding this relationship. Design/methodology/approach The study uses a large and unique sample of Swedish bank customers, combining objective bank register data with subjective data from a questionnaire. A probit regression is used. Since decisions regarding the use of financial advisory services can be influenced by, e.g., age, wealth, gender and marital status, the author analyzes results at both the overall level and the group level. Findings All three saving motives are found to be predictors, i.e., motives to save for wealth, retirement, and a rainy day (with opposite sign). Only the motive to save for retirement is significant for both women and men. Wealth differences seem more important than gender differences, except for the rainy day motive where gender differences are observed also among the wealthy. Practical implications The study is important since there is a need for financial advisors to understand their customers’ context, including motives to save. Saving motives involving longer time horizons and more uncertainty are likely to predict the use of financial advisory services. Originality/value This paper is original because it deepens the understanding of the relationship between saving motives and customers’ use of financial advisory services, focusing also on the aspect of gender differences, while controlling for demographics and socioeconomics, and customers’ interest and confidence in financial matters, risk tolerance, and financial literacy.
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Slezáková, Andrea. "Liability for Damage Caused at the Pursuit of Financial Advisory." Studia Commercialia Bratislavensia 10, no. 37 (June 1, 2017): 66–73. http://dx.doi.org/10.1515/stcb-2017-0006.
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Abstract The Act No 186/2009 Coll. on financial intermediation and financial advisory and on amendments and supplements to certain laws is reflecting on the topic of liability. It is incorporating provisions about the liability for damage at the pursuit of financial advisory. The attention is being paid to the liability for damage caused to the professional or non-professional client at the pursuit of financial advisory. In accordance with the element of the liability legal relationship, the subjective aspect, the liability for damage caused at the pursuit of financial advisory represents a subjective liability, where fault is necessary. Our proposal de lege ferenda is the introduction of strict liability for damage caused at the pursuit of financial advisory.
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Schlereth, Christian. "Pricing plans for a financial advisory service." European Journal of Marketing 48, no. 3/4 (April 8, 2014): 595–616. http://dx.doi.org/10.1108/ejm-07-2012-0404.
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Purpose – In cooperation with a German online retail bank, the aim of this paper is to investigate how the bank should price a new fee-only financial advisory service. Two types of pricing plans differ in terms of their strategies for determining monthly prices: a fixed monthly price that is identical for all clients (i.e. a flat pricing plan) or a monthly price that varies as a function of each client's assets under management (i.e. a volume pricing plan). Design/methodology/approach – With a discrete choice experiment, this article studies client preferences for the two types of plans. To ensure that the respondents understood the financial consequences of their decisions, a price calculator was embedded into the discrete choice experiment to enable the respondents to determine their individual monthly prices based on their assets under management. Findings – Methodologically, the price calculator is useful for simplifying mathematically complex decisions, and it provides additional valuable information for analysis. Substantively, the results show that clients perceive both types of pricing plans as equally attractive; however, the service provider's revenues would increase by up to 12 per cent if it uses the volume pricing plan. Originality/value – This research extends the stream of literature on the measurement of pricing plan preferences and offers guidance for service industries, such as telecommunications, cloud computing services, insurances, or transportation. It extends the use of discrete choice experiments to study client preferences for different pricing plans and also integrates a decision aid, i.e. a price calculator, in the experiment to assist clients in comparing alternatives more effectively.
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Liu, Ruilin. "Research on Financial Risks of Robo-Advisor Platforms." E3S Web of Conferences 218 (2020): 01035. http://dx.doi.org/10.1051/e3sconf/202021801035.
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With the vigorous development of China’s Internet finance and financial technology, Roboadvisors have become more and more popular among investors. This new investment and financial management model that relies on Internet platforms, artificial intelligence, quantitative trading technologies will have a greater impact on the capital market once the financial risks caused. How to standardize the Robo-advisory platform, effectively control the financial risks in the investment process and protect the interests of investors is an urgent problem in the Robo-advisory industry. Firstly, this article analyzes the development status of domestic Robo-advisory platforms. Then it puts forward suggestions on how the Robo-advisory industry can face the dual pressures of survival and profit in the context of stricter supervision by analyzing various financial risks and causes of the platform. It aims to promote the sound development of the investment advisory market in the context of financial technology.
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Waliszewski, Krzysztof. "Financialization of The Economy and the Need for Personal Finance Advisory Services." e-Finanse 12, no. 2 (June 1, 2016): 13–23. http://dx.doi.org/10.1515/fiqf-2016-0140.
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Abstract Financialization of households is a result of the growing role of financial systems and instruments in the economy. The increased role of financial phenomena in financial and non-financial decisions taken by households is not proportional to capabilities of their perception and understanding by households which possess basic knowledge in finance. The missing link between institutions and financial markets offering more complex financial solutions and the consumer may be a financial advisor who can perform many important roles with respect to households. The aim of this article is to present financialization of the economy and households and the role that can be played by financial advisors in decreasing the imbalance of information between the consumer and financial institutions, as well as the lack of symmetry in understanding financial information by the consumer.
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Silic, Mario, and Christian Ruf. "The effects of the elaboration likelihood model on initial trust formation in financial advisory services." International Journal of Bank Marketing 36, no. 3 (May 8, 2018): 572–90. http://dx.doi.org/10.1108/ijbm-02-2017-0038.
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Purpose In order for financial institutions to cope with increased competitive pressure from the financial technology companies, offering digital services such as a mobile service system (MSS) targeted for high net worth individuals (HNWIs) becomes critical. Despite long-term trustworthy relationships between HNWIs and financial advisors, studies suggest that the formation of initial trust poses a significant challenge. The purpose of this paper is to identify various features related to initial trust antecedents. Design/methodology/approach The study was conducted using the survey data, and employs variance-based structural equation modeling (SEM) techniques to test hypotheses. Findings The findings from a closed experiment with 107 participants suggest that compared to more traditional service systems, customers are more prone to the construct of service quality, and specifically professional, prompt, dependable and timely financial advice. Originality/value The study validated key constructs that positively influence the initial trust formation process and ultimately the intention to use in an MSS for the financial advisory. The authorts particularly emphasized the rebalancing and monitoring steps in the financial planning process between HNWIs and client advisors.
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Knight, Thomas G., Myra Robinson, Michael R. Grunwald, Lauren M. Bohannon, Erin Blackwell, Jing Ai, Brittany Ragon, et al. "Patient Reported Financial Toxicity in Acute Leukemia." Blood 132, Supplement 1 (November 29, 2018): 4796. http://dx.doi.org/10.1182/blood-2018-99-119163.
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Abstract Background: Financial Toxicity (FT) is increasingly recognized as a major contributor to morbidity and mortality in a variety of cancers. Treatment of acute leukemia is associated with heavy healthcare utilization and high costs. The purpose of this study was to define rates, risk factors, and mortality implications for FT in patients with acute leukemia using patient reported data. Methods: All patients seen at the Levine Cancer Institute, a tertiary hospital-based leukemia practice, were surveyed prior to each visit over a six-month period. All patients were aged ≥18 years and were diagnosed with acute myeloid leukemia (AML) or acute lymphoblastic leukemia (ALL). The survey consisted of the PROMIS Global-10 measure and two questions from the COST measure. FT was defined as scoring 4 or less (maximum: 10) in agreement with the COST questions: "I know that I have enough money in savings, retirement, or assets to cover the costs of my treatment" and "I am satisfied with my current financial situation." Demographic data and disease characteristics were abstracted from the medical record. Model selection was carried out using logistic regression to identify factors impacting the incidence of financial toxicity. Correlation of numerical financial toxicity scores with PROMIS scores and with mortality data was assessed using linear regression. Results: Of the 106 patients, 58 (54%) met the definition of exhibiting FT. The factors associated with incidence of FT included: age, race, and insurance type. The odds of FT in those patients <65 years of age were 2.7 times the odds of FT in those ≥65, adjusting for race, insurance, and time since first treatment (95% CI: 0.884 - 8.438, p = .081). The odds of FT in African American patients were 4.3 times the odds of FT in Caucasian patients, adjusting for age, insurance, and time since first treatment (CI: 0.408 - 44.824, p = .150). The odds of FT in patients with Medicaid insurance were 14.2 times the odds of FT in patients with commercial insurance, adjusting for age, race, and time since first treatment (CI: 1.658 - 121.862, p = .106). Gender, distance from the hospital, type of acute leukemia, history of blood/marrow transplant, and history of relapsed disease were not found to be significant. There was a significant correlation for both the PROMIS global physical (p < .001) and mental (p < .001) scores with the FT score. Lower FT score (higher degree of FT) was associated with lower mental and physical scores. There was no statistically significant difference in survival between patients with FT scores >4 compared to patients with FT scores <=4; however, there was a trend toward decreased survival in those with lower FT scores (Figures 1 and 2). Conclusions: Patients with acute leukemia represent an extremely vulnerable population for financial toxicity with rates of distress even higher than other reported malignancies. Urgent interventions are indicated in this population. Disclosures Grunwald: Medtronic: Equity Ownership; Cardinal Health: Consultancy, Membership on an entity's Board of Directors or advisory committees; Genentech: Research Funding; Merck: Consultancy, Membership on an entity's Board of Directors or advisory committees; Forma Therapeutics: Research Funding; Janssen: Research Funding; Incyte Corporation: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Alexion: Consultancy, Membership on an entity's Board of Directors or advisory committees; Pfizer: Consultancy, Membership on an entity's Board of Directors or advisory committees; Ariad: Consultancy, Membership on an entity's Board of Directors or advisory committees; Agios: Consultancy, Membership on an entity's Board of Directors or advisory committees; Amgen: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Celgene: Consultancy, Membership on an entity's Board of Directors or advisory committees. Avalos:Juno: Membership on an entity's Board of Directors or advisory committees. Symanowski:Five Prime Therapeutics: Other: Data Safety Monitoring Board ; Boston Biomedical: Other: Data Safety Monitoring Board ; Eli Lily & Co: Other: Data Safety Monitoring Board; Immatics: Other: Data Safety Monitoring Board.
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Strauß, Nadine. "Communicating Sustainable Responsible Investments as Financial Advisors: Engaging Private Investors with Strategic Communication." Sustainability 13, no. 6 (March 13, 2021): 3161. http://dx.doi.org/10.3390/su13063161.
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Although sustainable responsible investing (SRI) has increasingly become popular on the financial markets, the potential of raising capital from private investors for sustainable development has not been efficiently seized thus far. The lack of knowledge and training about SRI by financial advisors has often been identified as one of the main reasons for this investment gap. In order to accelerate the role of financial advisors as change agents for SRI, this study proposes several strategic communication interventions that advisors could employ in their advisory talks to raise more attention and engagement among private investors for SRI. The interventions proposed are oriented on the 5A model of SRI decision making by Herwig Pilaj and drawn from an interdisciplinary literature review on sustainability, communication, and attitudinal and behavioral change. The results provide a perspective and practical guide for financial advisors on how to effectively communicate SRI to private investors. Limitations and areas future research are discussed.
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Walti, Carla S., Joyce Maalouf, Jim Boonyaratanakornkit, Jacob Keane-Candib, Justin J. Taylor, Alexandre V. Hirayama, Merav Bar, et al. "196. Antibodies to Vaccine-preventable Infections After CAR-T Cell Immunotherapy for B Cell Malignancies." Open Forum Infectious Diseases 7, Supplement_1 (October 1, 2020): S226—S227. http://dx.doi.org/10.1093/ofid/ofaa439.506.
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Abstract Background Chimeric antigen receptor-modified T (CAR-T) cell immunotherapy for B cell hematologic malignancies results in prolonged B cell depletion. Little is known about the effects of CAR-T cell therapy on pre-existing pathogen-specific humoral immunity. Methods We conducted a prospective, cross-sectional study of children and adults treated with CD19- or BCMA-CAR-T cell therapy. Eligible patients were ≥ 6 months post-CAR-T cell infusion and in remission without subsequent chemoimmunotherapy. We measured total immunoglobulin G (IgG), pathogen-specific IgG levels for 12 vaccine-preventable infections, and B cell subsets from blood. Seroprotective antibody titers were based on standard thresholds. We described the proportion of patients with seroprotective titers and tested for associations between clinical factors and seroprotection using generalized estimating equations. Results We enrolled 65 patients who received CD19- (n=54) or BCMA- (n=11) CAR-T cell therapy. Seven patients were < 18 years old. Samples were collected a median of 20 months (range, 7–68) after CAR T cell infusion. Seroprotection to vaccine-preventable pathogens was generally comparable to the U.S. population (Fig 1) even though blood CD19+ B cell counts were low (< 20 cells/mm3) in 60% of patients. Among 30 patients without IgG replacement in the prior 16 weeks (4 half-lives of IgG), 27 (90%) had hypogammaglobulinemia. Despite this, these individuals had seroprotection to a median of 67% (IQR, 59%-73%) of tested pathogens (Fig 2A). The proportion of patients with seroprotection was lowest for mumps, hepatitis A and B, H. influenzae type B (Hib), S. pneumoniae, and B. pertussis. Patients receiving BCMA-CAR-T cells had seroprotection to fewer pathogens than those receiving CD19-CAR-T cells (Fig 2B), but the difference did not reach statistical significance (Fig 3). There were no significant differences by other variables. Figure 1. Proportion of CAR-T cell recipients with seroprotection to vaccine-preventable infections compared to the U.S. population, stratified by receipt of IgG replacement in the previous 16 weeks. Figure 2 A-B. Percentage of pathogens with seroprotective antibody titers among patients without IgG replacement in the previous 16 weeks. Figure 3. Association of clinical factors with seroprotection to vaccine-preventable infections among patients without IgG replacement in the previous 16 weeks (n=30) Conclusion Seroprotection for vaccine-preventable infections after CD19-CAR-T cell therapy was comparable to the general population. BCMA-CAR-T cell recipients may benefit most from replacement IgG. Vaccinations after CAR-T cell therapy should be considered and prioritized for S. pneumoniae, Hib, hepatitis viruses, and B. pertussis. Disclosures Justin J. Taylor, PhD, Vir Biotechnology (Grant/Research Support) Damian J. Green, MD, Cellectar Biosciences (Grant/Research Support)GSK (Advisor or Review Panel member)Juno Therapeutics (Grant/Research Support, Advisor or Review Panel member, Other Financial or Material Support, Royalities)Seattle Genetics (Grant/Research Support, Advisor or Review Panel member) Michael Boeckh, MD PhD, AlloVir (Consultant)EvrysBio (Advisor or Review Panel member, Other Financial or Material Support, share options)Gilead (Consultant, Grant/Research Support)GSK (Consultant)Helocyte (Advisor or Review Panel member, Shareholder)Lophius (Grant/Research Support)Merck (Consultant, Grant/Research Support)SymBio (Consultant)VirBio (Consultant, Grant/Research Support) David G. Maloney, MD, PhD, A2 Biotherapeutics (Consultant, Other Financial or Material Support, Stock Options)Bioline Rx (Consultant)Celgene (Consultant, Grant/Research Support)Gilead (Consultant)Juno Therapeutics (Consultant, Research Grant or Support, Other Financial or Material Support, four pending patents, not issued, licensed, no royalities, no licensees)Kite Pharma (Consultant, Grant/Research Support)Novartis (Consultant)Pharmacyclics (Consultant) Cameron J. Turtle, MBBS, PhD, Allogene (Other Financial or Material Support, Ad hoc advisory board (last 12 months))ArsenalBio (Advisor or Review Panel member, Other Financial or Material Support, Stock/options)AstraZeneca (Grant/Research Support, Other Financial or Material Support, Ad hoc advisory board (last 12 months))Caribou Biosciences (Advisor or Review Panel member, Other Financial or Material Support, Stock/options)Century Therapeutics (Advisor or Review Panel member)Eureka Therapeutics (Advisor or Review Panel member, Other Financial or Material Support, Stock/options)Juno Therapeutics (Grant/Research Support, Other Financial or Material Support, Patent: Licensed to Juno Therapeutics)Myeloid Therapeutics (Advisor or Review Panel member, Other Financial or Material Support, Stock/options)Nektar Therapeutics (Grant/Research Support, Other Financial or Material Support, Ad hoc advisory board (last 12 months))PACT Pharma (Other Financial or Material Support, Ad hoc advisory board (last 12 months))Precision Biosciences (Advisor or Review Panel member, Other Financial or Material Support, Stock/options)TCR2 Therapeutics (Grant/Research Support)T-CURX (Advisor or Review Panel member) Joshua A. Hill, MD, Allogene (Consultant)Allovir (Consultant)Gilead (Consultant)Karius (Grant/Research Support, Scientific Research Study Investigator)Takeda (Grant/Research Support, Scientific Research Study Investigator)
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Dai, Wensheng. "Development and Supervision of Robo-Advisors under Digital Financial Inclusion in Complex Systems." Complexity 2021 (January 28, 2021): 1–12. http://dx.doi.org/10.1155/2021/6666089.
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With the rapid development of the market economy, there are more and more projects in the financial industry, and their complexity and technical requirements are getting higher and higher. The development of computer technology has promoted the birth of robot consultants, and it is of great significance to use robot consultants to manage and supervise financial industry projects. In order to further analyze the development and supervision of robo-advisors under the digital inclusive financial system, this paper uses complex systems and clustering algorithms as technical support to carry out research. First, the traditional K-means algorithm is used to select the initial clustering center, to improve the noise and outlier processing capabilities, and to build a data mining system based on the improved algorithm. Then, a product design model for robo-advisors is built and the risks of robo-advisors are analyzed from three aspects: technology, market, and law. Analyzing the performance of the improved K-means algorithm, in the operation of the experimental dataset B, the accuracy of the clustering result after 6 iterations reached 97.08%, which shows that the algorithm has good performance. During the trial operation of the data mining system, the four types of customers of financial institutions were accurately clustered, and it was concluded that the main type of customers who brought benefits to financial institutions was high-income customers accounting for 10.75%. Robo-advisory product models are used to build five risk-level investment portfolios and conduct risk backtests. Except for the growth and income portfolio, other portfolios have consistently outperformed the performance benchmark during the analyzed time period. Running the research system of this paper in a financial institution, comparing the capital budget before and after the operation, found that the system can improve the accuracy of the budget and reduce the risk of the robo-advisor for the financial institution.
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Ramchander, M. "Measuring consumer knowledge of life insurance products in South Africa." South African Journal of Business Management 47, no. 2 (June 30, 2016): 67–74. http://dx.doi.org/10.4102/sajbm.v47i2.61.
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The financial services industry is characterized by product suppliers having more information than consumers regarding product features and services. The purpose of this article is to explore this information asymmetry with particular reference to the life insurance industry. Financial advisors, acting as intermediaries, are charged with the task of resolving this asymmetry through mandatory disclosures demanded by regulation. In South Africa, the Financial Services Board (FSB) monitors, regulates and supervises the financial services industry through the Financial Advisory and Intermediary Services Act of 2002 and The Code of Conduct for Financial Advisors. This paper distinguishes financial products from other products and highlights the need for disclosures regarding product features, by financial advisors. Using multistage sampling a national survey was conducted to establish whether consumers are knowledgeable of the features of basic insurance products. The findings were that consumers have a low to very low level of understanding of the features of basic insurance products. The study makes an important contribution to insurers’ understanding of consumers’ knowledge regarding the features of basic life insurance products. Furthermore, the findings would also contribute to insurersunderstanding the level to which intermediaries resolve the information asymmetry between product suppliers and consumers.
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Turkstra, Erika, Emilie Bettington, Maria L. Donohue, and Merehau C. Mervin. "PHARMACEUTICAL BENEFITS ADVISORY COMMITTEE RECOMMENDATIONS IN AUSTRALIA." International Journal of Technology Assessment in Health Care 33, no. 4 (2017): 521–28. http://dx.doi.org/10.1017/s0266462317000617.
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Objectives: The aim of this study was to examine submissions made to the Pharmaceutical Benefits Advisory Committee (PBAC) and assess whether the predicted financial impact was associated with a recommendation. The second objective was to assess whether the financial and utilization estimates for listing the proposed medicine were reliable.Methods: Data were extracted from public summary documents of major submissions considered by the PBAC from 2012 to 2014. Information collected included whether submissions were accepted, rejected, or deferred; estimated use; and financial impact. For those submissions that were recommended in 2012 and listed on the Pharmaceutical Benefits Scheme (PBS) by January 2014, a comparison was made between predicted and actual use and cost in 2014, based on PBS utilization.Results: In 2012 to 2014, the PBAC considered 142 unique major submissions; of those, 65 were recommended for listing. A higher financial cost to the government was a statistically significant factor in predicting rejection (p = .004 for cost > AUD 30 million Australian dollars [20.7 million Euros] compared with cost-saving). Of the submissions that were recommended in 2012 and listed by 2014, the actual use was higher than predicted for 5/19 medications. The estimated cost was outside the predicted bracket of cost for 10/19 medications, with 8/19 medications having threefold underestimated expenditure, and 2/19 items having lower than predicted expenditure.Conclusions: This study highlights that the predicted financial impact of a medication to the PBS budget is associated with a PBAC recommendation and also highlights that predicted use may not reflect actual prescribing practices.
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Gurun, Umit G., Noah Stoffman, and Scott E. Yonker. "Trust Busting: The Effect of Fraud on Investor Behavior." Review of Financial Studies 31, no. 4 (July 12, 2017): 1341–76. http://dx.doi.org/10.1093/rfs/hhx058.
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AbstractWe study the importance of trust in the investment advisory industry by exploiting the geographic dispersion of victims of the Madoff Ponzi scheme. Residents of communities that were exposed to the fraud subsequently withdrew assets from investment advisers and increased deposits at banks. Additionally, exposed advisers were more likely to close. Advisers who provided services that can build trust, such as financial planning advice, experienced fewer withdrawals. Our evidence suggests that the trust shock was transmitted through social networks. Taken together, our results show that trust plays a critical role in the financial intermediation industry.Received April 18, 2016; editorial decision March 8, 2017 by Editor Robin Greenwood.
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Belkora, Jeff. "Evaluating Client Discovery Interviews at a Financial Advisory Firm." Journal of Wealth Management 18, no. 1 (April 30, 2015): 9–23. http://dx.doi.org/10.3905/jwm.2015.18.1.009.
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PHAM-KANTER, GENEVIEVE. "Revisiting Financial Conflicts of Interest in FDA Advisory Committees." Milbank Quarterly 92, no. 3 (September 2014): 446–70. http://dx.doi.org/10.1111/1468-0009.12073.
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Kent, Pamela. "Management Advisory Services and the Financial Performance of Clients." International Small Business Journal: Researching Entrepreneurship 12, no. 4 (July 1994): 45–58. http://dx.doi.org/10.1177/0266242694124003.
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Blaschke, Justus, and Johannes Kriebel. "Robo Advisory Customer Groups: Who Requires Advice?The authors wish to thank Anselm Hüwe, Andreas Pfingsten (the editor), and an anonymous reviewer for their comments, suggestions, and valuable feedback." Die Unternehmung 75, no. 3 (2021): 397–410. http://dx.doi.org/10.5771/0042-059x-2021-3-397.
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Prior literature has often investigated how robo advisors can broaden their customer base. This study is based on the observation that some customers value the risk elicitation of robo advisors (guidance customers), whereas others value other aspects such as the simplicity and convenience of these services. Based on empirical robo advisory data, we build machine learning models to identify guidance customers. The models make predictions based on the financial knowledge of customers to a large extent. The age of a customer, the amount invested, income, and available assets are further important determinants.
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Burke, Jeremy, and Angela A. Hung. "Trust and financial advice." Journal of Pension Economics and Finance 20, no. 1 (November 14, 2019): 9–26. http://dx.doi.org/10.1017/s147474721900026x.
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AbstractWe explore the relationships between financial trust and behaviors, attitudes, knowledge, and preferences related to utilizing professional financial advice. Using survey data from the RAND American Life Panel, we find that financial trust is correlated with advice usage and likelihood of seeking advisory services. Leveraging an experiment that randomized provision of and access to advice, we find that trust is an important predictor of who chooses to receive advice, even after controlling for demographic characteristics and financial literacy. However, providing unsolicited advice has little impact on behavior, even for individuals with high levels of trust.
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Ammendolea, C., J. Gordon, W. Hall, R. Armstrong, and N. Chari. "Financial Resources Digital Navigation Tool for Metastatic Breast Cancer Patients." Journal of Global Oncology 4, Supplement 2 (October 1, 2018): 172s. http://dx.doi.org/10.1200/jgo.18.69400.
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Background and context: Although Canadians enjoy a universal health care system, there continues to be costs to patients that are not covered by the system. The economic impact of breast cancer is huge and, in many cases, devastating for patients and their families. As a result there is a need for educational and navigational resources that assist patients with the financial burden of facing a metastatic breast cancer diagnosis. Aim: The aim of this project is to develop an online navigation tool that will assist Canadians living with metastatic breast cancer source financial supports and resources to help lessen the financial impact of their diagnosis. Strategy/Tactics: An advisory board of people living with metastatic breast cancer was convened to help guide this project and provide input on the lived experience and financially challenges of Canadians living with this stage of the disease. The input from the advisory board along with the responses from a survey of over 150 Canadian metastatic breast cancer patients informed the type of information that should be included in the resource. Through an environmental scan and research of various financial supports, a comprehensive list of financial resources available locally, regionally and nationally was compiled. This data were integrated into a database that will be accessed through an intuitive online interface that will be integrated with CBCN´s Web site. The advisory board reviewed the draft content and framework to ensure that identified needs and priorities have been addressed. All content was translated into French as this tool will be offered in both French and English. The anticipated launch of this resource is November 2018. Outcomes: CBCN anticipates that over 1200 people living with metastatic breast cancer will access this resource in the first year and that over 50 institutions will be informed that this tool is available for their patients. Given that this will be a unique resource, CBCN expects that patients, health care professionals and support workers will access this resource to better support people living with metastatic breast cancer. What was learned: This resource has not launched, but based on CBCN´s research and the feedback of the patient advisory board, it is understood that there is a great need for this financial resources navigation tool.
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Waliszewski, Krzysztof, and H. Oliver Welch. "From the Roots to the Present of Personal Financial Planning – Achievements on the 50th Anniversary of the Movement." Finanse i Prawo Finansowe 1, no. 29 (March 31, 2021): 129–53. http://dx.doi.org/10.18778/2391-6478.1.29.08.
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The purpose of the article The aim of the article is to present the reasons for the emergence of personal and financial planning in the 1960s in the US, and then its quantitative and qualitative evolution around the world, taking into account institutional aspects.
Methodology Review of the literature on the subject, legal acts and statistics of the financial advisory movement.
Results of the research The study found that personal financial planning emerged from a grassroots initiative as a response to the needs of consumers and progressive representatives of the financial sector. Its territorial expansion beyond its homeland was associated with a growing awareness of the benefits of financial advisory services to households. Before the entire financial planning movement there is enormous growth potential.
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Winnefeld, Christoph H., and Anja Permantier. "FinTech - The digital (R)Evolution in the German Banking Sector?" Business and Management Research 6, no. 3 (September 20, 2017): 65. http://dx.doi.org/10.5430/bmr.v6n3p65.
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During the last years, the German banking sector has faced major changes due to significant progress in the technological sector and hence an increased digitalization in many areas. Changing consumer behavior and customer needs force credit institutions to adjust to these developments in order to maintain their competitiveness. An enlarged number of new financial technology (FinTech) corporations started providing financial services comparable to the ones conventional banks offer. In this context, especially the topic of robo-advice is becoming more and more relevant. Robo-advisors can be defined as digital platforms that provide automated, algorithm-driven financial planning services with little to no human supervision. In our article, we investigate robo-advisors as part of the FinTech movement and in particular analyze the eligibility of digital investment advisory service as potential alternative to conventional asset management. We specifically emphasize the influence that FinTech companies and innovations have on the German banking sector.
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Gandhi, Pervin, and Sujo Thomas. "Wealth creation challenges – M/s. A. N. Gandhi." CASE Journal 16, no. 6 (December 1, 2020): 703–28. http://dx.doi.org/10.1108/tcj-03-2020-0017.
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Research methodology The case was created through personal interviews of the proprietor, Arzan Gandhi. The authors also researched data for investment advisory business along with current events relating to Indian stock market and its performance. Case overview/synopsis The case explores the fascinating entrepreneurial journey of Arzan Gandhi, 62 years old, from a cotton mill worker to an owner of a reputed investment advisory firm, “M/s A. N. Gandhi” in Ahmedabad, India. Reflecting upon the experiences that empowered Gandhi’s success in investment advisory business, students acquire an insight of real wealth creation challenges in business. Gandhi had to set the right priorities to take his business to the next level with intensified competition in the financial advisory field. Complexity academic level The case is best suited for graduate and post-graduate level courses on personal finance, financial planning elective or entrepreneurship. It is useful for teaching lessons on how financial planning and strategic decisions taken, through entrepreneurial traits and opportunity recognition helps in wealth creation and taking a venture to new heights.
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Długosz, Joanna, and Jarosław Skorwider. "Conditions for Development of the Financial Advisory Services for Households." Olsztyn Economic Journal 4, no. 1 (June 1, 2009): 72–82. http://dx.doi.org/10.2478/v10021-009-0007-1.
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Fromer, Margot J. "New FDA ‘Draft Guidance’ on Financial Criteria for Advisory Committees." Oncology Times 29, no. 8 (April 2007): 32. http://dx.doi.org/10.1097/01.cot.0000269632.04157.16.
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Hayes, Michael J., and Vinay Prasad. "Financial Conflicts of Interest at FDA Drug Advisory Committee Meetings." Hastings Center Report 48, no. 2 (March 2018): 10–13. http://dx.doi.org/10.1002/hast.833.
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Tharp, Derek T. "Potential Consumer Harm Due to Regulation on Financial Advisory Communication in the FinTech Age." Journal of Financial Counseling and Planning 31, no. 1 (March 30, 2020): 146–61. http://dx.doi.org/10.1891/jfcp-18-00041.
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This article examines potential consumer harm that may arise due to regulating modern financial services communication technology with rules written in the early 20th century. It is argued that disparities in record keeping regulation across communication mediums disincentivizes the use of technology capable of generating records for consumer retention, while incentivizing the use of technology which shields financial advisors from accountability. Experimental evidence is provided in support of this argument. Further, it is argued that regulation disparities across communication mediums may result in more wrongful accusations of advisor misconduct, less reporting of genuine misconduct, less self-policing among industry members, and greater unrectifiable consumer harm. Objections to these arguments are considered, along with practical guidance for consumers, regulators, and policy makers.
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Helleiner, Eric. "Central bankers as good neighbours: US money doctors in Latin America during the 1940s." Financial History Review 16, no. 1 (March 18, 2009): 5–25. http://dx.doi.org/10.1017/s096856500900002x.
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AbstractThis article analyses a set of financial advisory missions led primarily by Robert Triffin of the US Federal Reserve Board to Latin American countries during the 1940s. These missions developed a new approach to international ‘money doctoring’ that rejected both the content and style of the better-known US financial advisory missions led by Edwin Kemmerer during the 1920s. The missions were driven by a number of motivations that emerged from the politics of the New Deal and the Good Neighbour policy. The episode highlights the diversity of international money doctoring experiences, the importance of the financial dimensions of the Good Neighbour policy, and the wider geographical impact of a new kind of financial internationalism that emerged in US foreign policy in the wake of the 1930s.
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Burns, James, and Kimberly Beattie Saunders. "SEC fines non-US entities for unregistered cross-border brokerage and advisory activities." Journal of Investment Compliance 18, no. 1 (May 2, 2017): 75–77. http://dx.doi.org/10.1108/joic-02-2017-0002.
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Purpose To explain a settlement involving a foreign financial institution, its non-US subsidiaries, and the US Securities and Exchange Commission (“SEC”) that reveals an SEC focus on policing the activities of foreign firms that reach into the United States and helps further define the scope of activities that require registration under the federal securities laws. Design/methodology/approach Provides insight into a recent area of focus for SEC regulators and introduces the potential regulatory implications for non-US firms with activities that reach into the United States. Findings Given the SEC’s current enforcement focus, it is critical that financial institutions take care to conduct their activities with an understanding of the regulatory requirements associated with the provision of brokerage and advisory services to US clients and customers – including, for many firms, registration as an investment adviser, broker-dealer, or both. Originality/value Practical regulatory guidance regarding SEC registration requirements that may reach non-US firms from experienced financial services lawyers specializing in asset management.
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Aslan, Hadiye, and Praveen Kumar. "Stapled Financing, Value Certification, and Lending Efficiency." Journal of Financial and Quantitative Analysis 52, no. 2 (April 2017): 677–703. http://dx.doi.org/10.1017/s0022109017000047.
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We examine whether financing commitments from a target firm’s financial advisor, in the form of stapled financing, provide certification of target value. Using a data set of leveraged buyouts spanning 2002–2011, and addressing endogeneity issues, we find that stapled financing has significant positive effects on sellers’ shareholder wealth, especially for targets suffering from greater adverse selection. Stapled financing facilitates deal financing by allowing buyers to obtain lower-cost and longer-maturity debt, and it is positively associated with bidding intensity. Investment banks offering stapled financing appear to trade off higher expected advisory fees against loss of lending efficiency ex post.
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Nkwaira, Chekani, and Jan Walters Kruger. "The impact of transforming bank advisory services to borrowers on non-interest revenue generation." Banks and Bank Systems 12, no. 4 (December 20, 2017): 203–10. http://dx.doi.org/10.21511/bbs.12(4-1).2017.08.
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The challenges of revenue generation by banks are evident if one considers the accusations labelled against the banks of aggressive lending (Archaya &amp; Naqvi, 2012), which basically centers on the pursuit of profits with minimum regard to risk management. If not read or if read in passing, loan terms can be used to destroy the reputation of banks when accusations of predatory loans surface. It is argued here that even if understood at the time of signing the acceptance of the loan, there is no guarantee that the terms are still top of mind of borrowers, especially those who borrow for a long term. Banks can use their advisory skills to periodically take borrowers through loan terms, confirm understanding, detect any wanton behaviors (WB) from borrowers’ financial activities that go against financial astuteness and may jeopardize repayment capabilities and offer advice on practices that are not counter to repayment capabilities. Banks can mitigate the challenges in interest income generation, particularly from a default point of view by periodically engaging borrowers to specifically advice on behavioral issues that manifest themselves in financial levers. Since borrowers stand to gain immeasurable value out of these engagements, banks can justifiably levy borrower advisory service fees (BASF) and wanton hazard fee (WHF). The authors show, through the application of the BASF and WHF, the potential income banks can generate. Using the BASF and WHF as sources of non-interest income, the potential benefit taking into account the credit loss as a function of BASF accruing to the bank is established.
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Mustapha, Zakariya, Sherin Kunhibava, and Aishath Muneeza. "Court referral and Nigeria's Financial Regulation Advisory Council of Experts (FRACE)." ISRA International Journal of Islamic Finance 11, no. 2 (December 9, 2019): 206–25. http://dx.doi.org/10.1108/ijif-11-2018-0126.
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Purpose This paper aims to highlight resolution of Islamic finance dispute by common law-oriented courts in Nigeria with respect to Sharīʿah non-compliance and legal risks thereof, as well as the lesson to learn from Malaysia in that regard. This is with view to ensuring Sharīʿah compliance and legal safety of Islamic finance practice as prerequisites for sustainability of the Nigerian Islamic finance industry. Design/methodology/approach A qualitative method was used; interviews were conducted with different categories of experts and primary data collected in relation to Sharīʿah non-compliance and legal risks in adjudicating Islamic finance dispute by civil courts and the role of expert advice as basis for court referral to Financial Regulation Advisory Council of Experts. A doctrinal approach was adopted to analyse relevant legislative provisions and content analysis of secondary data relevant to applicable provisions in matters of finance before civil courts. Findings The paper discovers an indispensable role of conventional financial regulations in sustaining Islamic finance industry. Appropriate laws for Islamic finance under the conventional framework foster legal safety and Sharīʿah compliance of Islamic finance activities in related cases handled by courts. Nigeria civil courts can aid sustainability of Islamic finance when so equipped and enabled by laws that address apparent Sharīʿah non-compliance and legal risks in judicial dispute resolution. Inadequate legal provisions for dispute resolution breeds Sharīʿah non-compliance and legal risks in Islamic finance, undermine its prospects and stand inimical to its sustainability. Research limitations/implications This research is limited by its focus on Sharīʿah non-compliance and legal risks alone, which emanate mainly from judicial resolution of Islamic finance dispute by Nigerian civil courts. Practical implications This research seeks to motivate a determined and deliberate regulatory action and change in approach towards addressing apparent risks associated with Islamic finance while resolving disputes therein by civil courts. It has implications on common law jurisdictions generally that adopt similar approach as Nigeria's while introducing Islamic finance into their conventional finance framework. Originality/value Dispute resolution and other regulatory functions of civil courts are important to Islamic finance though apparently overlooked while introducing Islamic finance in Nigeria as in other emerging jurisdictions. This research ascertains the role of the civil courts as indispensable for Islamic Financial Institution (IFIs) operations and demonstrates that such courts are needed for the development and sustainability of Islamic finance industry. The research demonstrates the end-to-end requirement of Sharīʿah compliance of Islamic financial transactions as absolute and needs be ensured and guarded at dispute resolution level by properly equipped courts.
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Nussbaumer, Philipp, Inu Matter, and Gerhard Schwabe. "“Enforced” vs. “Casual” Transparency -- Findings from IT-Supported Financial Advisory Encounters." ACM Transactions on Management Information Systems 3, no. 2 (July 2012): 1–19. http://dx.doi.org/10.1145/2229156.2229161.
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Knight, Thomas G., Myra Robinson, Jing Ai, Brittany K. Ragon, Rhonda Davis, Cindy Shiflett, Erica Ruston, et al. "Patient Reported Financial Toxicity in Myeloproliferative Neoplasms." Blood 134, Supplement_1 (November 13, 2019): 2099. http://dx.doi.org/10.1182/blood-2019-128858.
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Background: Financial Toxicity (FT) is increasingly recognized as a major contributor to morbidity and mortality in a variety of cancers. Previous research has demonstrated patients with myeloproliferative neoplasms (MPNs) exhibit a substantial comorbidity burden and have an increased risk of mortality. The purpose of this study was to define rates of FT and the implications on morbidity and mortality in this population using patient reported data. Methods: All patients seen at the Levine Cancer Institute, a tertiary hospital-based specialty practice, were surveyed prior to their visit over a six-month period. All patients were aged ≥18 years and diagnosed with Philadelphia chromosome−negative classical MPNs including myelofibrosis (MF), polycythemia vera (PV), and essential thrombocythemia (ET). The survey consisted of the PROMIS Global-10 measure and two questions from the COST measure. FT was defined as scoring 4 or less (maximum: 10) in agreement with the COST questions: "I know that I have enough money in savings, retirement, or assets to cover the costs of my treatment" and "I am satisfied with my current financial situation." Patient disease and treatment characteristics were summarized with frequencies and proportions for categorical variables and medians and ranges for continuous variables. Correlation of numerical FT scores with PROMIS scores was assessed with Pearson correlation coefficients and ANOVA regression. Additionally, model selection was carried out using logistic regression to identify factors impacting the incidence of financial toxicity (where FT score <=4). Kaplan Meier methods were used to estimate overall survival distributions and log rank tests were used to compare between groups. Results: A total of 51 patients were surveyed. Disease type consisted of 45.1% MF, 31.4% PV, and 23.5% ET. Median age was 62 years. Most patients were high risk by disease specific scoring systems (58.8%), Caucasian (82.4%), and had commercial insurance (56.9%). Median distance from the clinic was 21 miles and median time from diagnosis was 2.2 years. Of the 51 patients surveyed, 20 (39.2%) met the predefined definition of exhibiting severe FT. Lower FT scores (indicating a higher degree of FT) were associated with lower global physical (p < .001) and mental (p < .002) scores by the PROMIS measures (Figure 1). There was no statistically significant difference in survival between patients with FT scores >4 compared to patients with FT scores <=4; however, there was a trend toward decreased survival in those with lower FT scores. The rate of mortality in those with FT score ≤4 was 15.0% compared to 3.2% in those with FT score >4 (p =.287). There also appeared to be a separation of the survival curves when looking at both time from diagnosis and time from survey administration (Figures 2 and 3). Age, race, gender, insurance type, distance from the hospital, disease type, disease specific risk classification, medications utilized, and history of blood/marrow transplant were not found to be significantly different in the two groups. Conclusions: Patients with myeloproliferative neoplasms represent an extremely vulnerable population for financial toxicity with quantifiably increased distress related to this toxicity increasing morbidity and potentially mortality. These findings should be validated in a larger patient cohort and interventions devised to reduce financial distress. Disclosures Knight: Foundation for Financial Planning: Research Funding. Ai:InCyte: Speakers Bureau; Amgen: Speakers Bureau. Trivedi:Incyte: Speakers Bureau. Avalos:Best Practice-Br Med J: Patents & Royalties: receives royalties from a coauthored article on evaluation of neutropenia; Juno: Membership on an entity's Board of Directors or advisory committees. Symanowski:Boston Biomedical: Membership on an entity's Board of Directors or advisory committees; Carsgen Therapeutics: Membership on an entity's Board of Directors or advisory committees; Eli Lilly: Membership on an entity's Board of Directors or advisory committees; Immatics: Membership on an entity's Board of Directors or advisory committees. Grunwald:Amgen: Consultancy; Novartis: Research Funding; Genentech/Roche: Research Funding; Pfizer: Consultancy; Daiichi Sankyo: Consultancy; Trovagene: Consultancy; Agios: Consultancy; Incyte: Consultancy, Research Funding; Cardinal Health: Consultancy; Forma Therapeutics: Research Funding; Abbvie: Consultancy; Celgene: Consultancy; Merck: Consultancy; Medtronic: Equity Ownership; Janssen: Research Funding.
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Subramanian, Shanmugasundaram. "Proxy advisory industry in India." Corporate Ownership and Control 13, no. 2 (2016): 371–78. http://dx.doi.org/10.22495/cocv13i2clp5.
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Proxy advisory firms play a significant role in shareholder voting and in the formulation of corporate governance policy. This paper analyses the status of budding proxy advisory industry in India using a case study method. The paper first traces the history of the global proxy advisory industry and also reviews the literature. Then we study the Indian Proxy Advisory Industry, which was born when the market regulator SEBI came out with a regulation in 2010 on “mutual funds” shareholding resolution voting policy. Quickly, three proxy advisory firms came to the market with differing ownership structure. Indian financial market offered great potential for investment through institutional investors. However the institutional investors in India are traditionally restrained them from taking activist role by voting on the shareholder meeting proposals. This poses a challenge to Indian proxy advisory firms along with other challenges typical of an emerging industry. The proxy advisory firms need to overcome the challenges to ensure their success. This pioneering work on Indian proxy advisory industry would open up new research ideas
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Anderson, Scott R., James Audette, and Kate S. Poorbaugh. "MSRB publishes 2017 compliance advisory for broker-dealers." Journal of Investment Compliance 19, no. 1 (May 8, 2018): 50–52. http://dx.doi.org/10.1108/joic-02-2018-0007.
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Purpose To summarize the Municipal Securities Rulemaking Board’s 2017 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance risks and providing considerations tailored to those risks, the Compliance Advisory can be used as a tool to aid dealers in developing and assessing effective compliance programs. Practical implications Dealers should consider reviewing their firm’s existing compliance policies and procedures in light of the considerations discussed in the Compliance Advisory. Originality/value Practical guidance from experienced securities and financial services regulatory lawyers.
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Anderson, Scott R., and Kate S. Poorbaugh. "MSRB publishes its first compliance advisory for broker-dealers." Journal of Investment Compliance 17, no. 3 (September 5, 2016): 49–51. http://dx.doi.org/10.1108/joic-07-2016-0026.
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Purpose To summarize the Municipal Securities Rulemaking Board’s 2016 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules that the Compliance Advisory highlights as presenting key compliance risks for brokers, dealers and municipal securities dealers. Discusses the factors included in the Compliance Advisory that dealers should consider when evaluating compliance procedures and controls. Findings By highlighting some key compliance risks and providing considerations tailored to those risks, the Compliance Advisory can be used as a tool to aid dealers in developing and assessing effective compliance programs. Practical implications Dealers should consider reviewing their firms’ existing compliance policies and procedures in light of the considerations discussed in the Compliance Advisory. Originality/value Practical guidance from experienced securities and financial services regulatory lawyers.
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McCurdy, Shannon R., Shannon H. Gier, Daria V. Babushok, Noelle V. Frey, Saar I. Gill, Elizabeth O. Hexner, Alison W. Loren, et al. "Fried Frailty Phenotype Predicts Mortality for Newly Diagnosed Older Patients with Acute Myeloid Leukemia or High Risk Myelodysplastic Syndrome." Blood 134, Supplement_1 (November 13, 2019): 2209. http://dx.doi.org/10.1182/blood-2019-124468.
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Introduction: Older patients with high-risk myeloid malignancies are now eligible for either induction chemotherapy (IC) or novel treatment strategies including liposomal cytarabine and daunorubicin (Vyxeos) or hypomethylating agent (HMA)/venetoclax. Vyxeos and HMA/venetoclax may be associated with less early mortality, but no trials have demonstrated significantly less mortality compared to IC. In this context, we need a better tool to determine a patient's risk of early mortality by strategy in order to inform therapy selection for older patients. The current methods to assess a patient's fitness for IC are the Eastern Cooperative Oncology Group (ECOG) or Karnofsky Performance Status (KPS) assessments, clinician subjective evaluations [i.e. gestalt (CG)], and often age itself (>75-80 years). None of these include objective measures of fitness. The Fried frailty phenotype (FP) uses both subjective (exhaustion and activity level) and objective measures (weight loss, gait speed, and grip strength) of frailty to categorize patients into fit, pre-frail, and frail. We hypothesized that FP would correlate with early mortality in this population and could be used to guide initial treatment selection. Methods: From September, 2018 to June, 2019 we prospectively enrolled 30 patients age 60 years or older with newly diagnosed, untreated acute myeloid leukemia (AML) or high-risk myelodysplastic syndrome (MDS) on an ongoing institutional review board approved clinical trial. We performed FP, CG, hematopoietic cell transplantation-comorbidity index (HCT-CI), and ECOG assessments on all patients prior to initiation of any therapy for their high grade myeloid disease. The primary endpoints were 60 and 100-day mortality. Results: Median patient age and follow up were 70.9 (range 61-82) years and 111 days, respectively. Patients had high-risk disease features as shown in Table 1, with the vast majority of AML patients being adverse risk by European Leukemia Network criteria and all MDS patients being high or very high-risk by the Revised International Prognostic Scoring System. The most common molecular mutations were TP53, ASXL1, RUNX1, IDH1/2, FLT3, and DNMT3A. IC consisting of either 7+3 or Vyxeos was used in 11 patients, HMA alone or in combination in 16, targeted therapy with enasidenib alone in 1, and best supportive care (BSC) in 2 (Table 1). Four patients who were frail by FP received IC (3 with Vyxeos). By FP assessments, 17% of patients were fit (score 0), 33% were pre-frail (score 1-2), and 50% were frail (score 3-5). In contrast, CG categorized 37% of patients as fit, 30% as pre-frail, and 33% as frail. Seven of 15 frail patients by FP were categorized as pre-frail or fit by CG. FP and ECOG scores also differed with 7 patients having low-risk ECOG scores of 0-1 and a high-risk FP of ≥3 (frail). For entire cohort, 60- and 100-day mortality rates were 15% and 25%, respectively. Frail patients by FP had 60-day and 100-day mortality rates of 32% and 51%, respectively, which was significantly worse than fit and pre-frail patients, all of whom were alive at 100 days (Figure 1/2, p=.016). Of the 6 out of 15 FP frail patients who died, 1 received a HMA alone, 3 HMA with venetoclax, and 2 BSC. In patients with ECOG scores of 0-1 or those categorized as fit by CG, 100-day mortalities were 8% and 10%, respectively. Mortality for patients with HCT-CI scores of 1-2 was unexpectedly higher (34% at both 60 days and 100 days) than for patients with higher risk HCT-CI scores ≥3 (13% and 29%, respectively). Conclusion: In newly diagnosed older patients with advanced myeloid neoplasms, being frail by FP was associated with increased 60 and 100-day mortality, owing to high mortality rates with HMA based therapies. While HCT-CI scores have been significantly associated with mortality after allogeneic transplantation, we observed that these scores were not linearly associated with survival or mortality in newly diagnosed AML and high/very-high risk MDS patients. By ECOG and CG, even the low risk groups contained patient deaths, suggesting that these standard metrics may not capture certain at-risk patients. CG tended to down grade frailty scores, categorizing patients as fitter than they were by FP. As such, FP may be a useful tool to predict early mortality. Further research is warranted to determine whether mortality differs by treatment within a given FP category, which may support the use of FP to select initial therapy. Disclosures Frey: Novartis: . Gill:Novartis: Research Funding; Tmunity Therapeutics: Research Funding; Carisma Therapeutics: Research Funding; Amphivena: Consultancy; Aro: Consultancy; Intellia: Consultancy; Sensei Bio: Consultancy; Carisma Therapeutics: Equity Ownership. Perl:Bayer: Research Funding; BioMed Valley Discoveries: Research Funding; FujiFilm: Research Funding; Novartis: Honoraria, Other: Advisory board, Non-financial support included travel costs for advisory board meetings as well as a medical writing company that assisted with manuscript preparation/submission and slide deck assembly for academic meeting presentations of the data., Research Funding; Jazz: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; NewLink Genetics: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Takeda: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Astellas: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings as well as a medical writing company that assisted with manuscript preparation/submission and slide deck assembly for academic meeting presentations of trial data., Research Funding; Agios: Consultancy, Honoraria, Membership on an entity's Board of Directors or advisory committees, Other: Non-financial support included travel costs for advisory board meetings.; Daiichi Sankyo: Consultancy, Honoraria, Other, Research Funding; Arog: Consultancy, Other: Non-financial support included travel costs for advisory board meetings.; AbbVie: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Actinium Pharmaceuticals: Consultancy, Honoraria, Other: Clinical Advisory Board member, Research Funding. Maillard:Genentech: Consultancy; Regeneron: Consultancy. Pratz:Millenium/Takeda: Research Funding; AbbVie: Membership on an entity's Board of Directors or advisory committees, Research Funding; Agios: Membership on an entity's Board of Directors or advisory committees, Research Funding; Astellas: Membership on an entity's Board of Directors or advisory committees, Research Funding. Porter:Kite: Membership on an entity's Board of Directors or advisory committees; Novartis: Membership on an entity's Board of Directors or advisory committees, Patents & Royalties, Research Funding; Incyte: Membership on an entity's Board of Directors or advisory committees; Glenmark Pharm: Membership on an entity's Board of Directors or advisory committees; Immunovative: Membership on an entity's Board of Directors or advisory committees; American Board of Internal Medicine: Membership on an entity's Board of Directors or advisory committees; Wiley and Sons: Honoraria; Genentech: Employment. Carroll:Astellas Pharmaceuticals: Research Funding; Incyte: Research Funding; Janssen Pharmaceuticals: Consultancy. Luger:Seattle Genetics: Research Funding; Biosight: Research Funding; Ariad: Research Funding; Agios: Honoraria; Genetech: Research Funding; Daichi Sankyo: Honoraria; Onconova: Research Funding; Kura: Research Funding; Jazz: Honoraria; Celgene: Research Funding; Cyslacel: Research Funding; Pfizer: Honoraria.
48
Jansen, Jean David. "Case Note—Judgment of theBundesgerichtshof(Federal Court of Justice of Germany) of 22 March 2011: Passion to Inform—BGH Expands Banks' Advisory Duties." German Law Journal 12, no. 7 (July 1, 2011): 1492–509. http://dx.doi.org/10.1017/s2071832200017405.
Full textAbstract:
In February 2011, aBundesgerichtshof[BGH—Federal Court of Justice] decision caused a great media echo. The court convicted Germany's largest bank to pay about half a million Euros in damages for the breach of advisory duties. In the aftermath of the financial crisis, banking law evolved fast in German courts. The recent decision raises new questions concerning the advisory duties of a bank, when offering financial products to its clients. The article gives an insight to various factual backgrounds, which, as financial products of today, are somewhat complex. Another interesting aspect to this case is that there are numerous decisions of lower courts that dealt with the same product as the BGH did. The ruling is considered to be far-reaching and groundbreaking. This case note will look into the question how far this is true.
49
Zureck, Alexander, and Tina Jäger. "Migration Background and its Impact on Personal Investments of in Germany Living People." INTERNATIONAL JOURNAL OF INNOVATION AND ECONOMIC DEVELOPMENT 4, no. 3 (2018): 7–11. http://dx.doi.org/10.18775/ijied.1849-7551-7020.2015.43.2001.
Full textAbstract:
More than 20 percent of in Germany living people have a migration background. From the economic point of view and in terms of customer protection, the group of people is noteworthy. Within this paper, the group of people with migration background is compared to people without migration background due to financial advisory, investment objectives, and yearly performance of personal investments. Generally, only a little difference was identified. People with a migration background focus more on security and liquidity. Returns are not so valuable as an investment objective. People with migration background more often generate a negative return than others. This peculiarity could be a consequence of the different investment objective. The most important person for the financial advisory is the consultant in the house bank. Family and friends are not so important to gather financial information.
50
Smith, Catherine C., Mark J. Levis, Alexander E. Perl, Giovanni Martinelli, Andreas Neubauer, Ellin Berman, Pau Montesinos, et al. "Emerging Mutations at Relapse in Patients with FLT3-Mutated Relapsed/Refractory Acute Myeloid Leukemia Who Received Gilteritinib Therapy in the Phase 3 Admiral Trial." Blood 134, Supplement_1 (November 13, 2019): 14. http://dx.doi.org/10.1182/blood-2019-122620.
Full textAbstract:
Introduction: The phase 3 ADMIRAL trial demonstrated that gilteritinib, a novel, potent, oral FLT3 inhibitor, significantly prolonged overall survival and resulted in higher remission rates compared with salvage chemotherapy in patients with FLT3-mutation-positive (FLT3mut+) relapsed/refractory (R/R) acute myeloid leukemia (AML; Perl AE, et al. AACR 2019), even in the presence of common co-occurring AML mutations (DNMT3A, NPM1, and WT1) (Levis MJ, et al. J Clin Oncol. 2019;37[suppl 15]:7000). However, as with other FLT3 inhibitors, patients often develop resistance after an initial response to gilteritinib. Evidence suggests that expansion of leukemic clones containing mutations in Ras/MAPK pathway genes NRAS and KRAS mediates secondary resistance to gilteritinib in patients with FLT3mut+ R/R AML, and confirms that cells with Ras/MAPK pathway mutations are FLT3mut+ (McMahon CM, et al. Cancer Discov. 2019; doi: 10.1158/2159-8290). We evaluated emerging mutations in patients who relapsed while receiving gilteritinib therapy in the ADMIRAL trial. Methods: Blood or bone marrow samples were available for 361 patients at baseline (97.3% of the intention-to-treat population [N=371]) and for 40 patients who relapsed on gilteritinib treatment. Samples were analyzed by next-generation sequencing using the Archer Core Myeloid Panel. Data were analyzed using Archer Analysis software; the variant allele frequency (VAF) cutoff was ≥2.7%. Results: Of 371 patients enrolled in the ADMIRAL trial, 247 were assigned to 120-mg/day gilteritinib and 75 (30.5%) relapsed during the study. Most relapses (n=72/75; 96.0%) occurred ≤4 weeks from the last gilteritinib dose. Forty patients who had samples available at baseline also had samples at relapse for comparison. No samples were available from patients who relapsed on chemotherapy. At relapse, 27/40 patients (67.5%) had new mutations, including mutations in Ras/MAPK pathway genes (n=18), FLT3 (n=6), WT1 (n=3), IDH1 (n=1), and GATA2 (n=1) (Table). Thirteen patients (32.5%) had no new mutations. Of the 18 patients with Ras/MAPK pathway gene mutations at relapse, 11 (61.1%) had >1 new mutation at relapse (range, 2-6). The most frequently mutated Ras/MAPK pathway gene was NRAS (n=11). Patients were also assessed for Ras/MAPK gene pathway mutations prior to gilteritinib therapy. Among all FLT3mut+ patients analyzed for co-mutated genes at baseline (n=361), 25 (6.9%) had Ras/MAPK pathway gene mutations detected (gilteritinib, n=18; salvage chemotherapy, n=7; median VAF, 13% [range, 3.4%-50%]). In contrast to the 12.0% of patients (n=3/25) who had >1 Ras/MAPK pathway gene mutation at baseline, 61.1% (n=11/18) had >1 Ras/MAPK pathway gene mutation at relapse. Notably, a considerable number of gilteritinib-treated patients who had Ras/MAPK pathway gene mutations at baseline achieved remission: the rate of CRc (ie, composite complete remission: complete remission [CR] or CR with incomplete hematologic/platelet recovery) was 38.9% (n=7/18); the rate of CR/CRh (ie, CR or CR with partial hematologic recovery) was 27.8% (n=5/18). Six patients acquired new FLT3 mutations at relapse. Five of these six patients acquired a F691L gatekeeper mutation; one of these five patients also acquired a FLT3 juxtamembrane domain point mutation. Of the three patients who acquired a WT1 mutation at relapse, one also acquired a FLT3 F691L gatekeeper mutation. The acquisition of Ras/MAPK pathway gene mutations and FLT3 F691L gatekeeper mutations at relapse was mutually exclusive. Conclusions: In patients with FLT3mut+ R/R AML who relapsed on gilteritinib therapy, Ras/MAPK pathway gene mutations and FLT3 F691L gatekeeper mutations were the most common mutational events. The presence of a Ras/MAPK pathway gene mutation at baseline did not preclude benefit from gilteritinib therapy, possibly due to fewer Ras/MAPK pathway gene mutations per patient at baseline than at relapse. The acquisition of multiple Ras/MAPK pathway gene mutations at relapse likely mediates continued engagement of Ras/MAPK signaling in patients with FLT3mut+ R/R AML receiving gilteritinib. The frequency of emergent FLT3 F691 gatekeeper mutations at relapse in patients who received 120-mg/day gilteritinib in the ADMIRAL study was similar to that observed in relapsed patients who received 20- to 450-mg/day gilteritinib (Levis MJ, et al. Blood. 2017;130[suppl 1]:2705). Table Disclosures Smith: Revolution Medicines: Research Funding; Astellas Pharma: Research Funding; fujiFilm: Research Funding; Abbvie: Research Funding. Levis:Astellas: Consultancy, Research Funding; FUJIFILM: Consultancy, Research Funding; Menarini: Consultancy, Honoraria; Novartis: Consultancy, Research Funding; Agios: Consultancy, Honoraria; Amgen: Consultancy, Honoraria; Daiichi Sankyo Inc: Consultancy, Honoraria. Perl:Astellas: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings as well as a medical writing company that assisted with manuscript preparation/submission and slide deck assembly for academic meeting presentations of trial data., Research Funding; BioMed Valley Discoveries: Research Funding; Daiichi Sankyo: Consultancy, Honoraria, Other, Research Funding; Arog: Consultancy, Other: Non-financial support included travel costs for advisory board meetings.; AbbVie: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Actinium Pharmaceuticals: Consultancy, Honoraria, Other: Clinical Advisory Board member, Research Funding; Agios: Consultancy, Honoraria, Membership on an entity's Board of Directors or advisory committees, Other: Non-financial support included travel costs for advisory board meetings.; Jazz: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; NewLink Genetics: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Takeda: Consultancy, Honoraria, Other: Non-financial support included travel costs for advisory board meetings.; Bayer: Research Funding; FujiFilm: Research Funding; Novartis: Honoraria, Other: Advisory board, Non-financial support included travel costs for advisory board meetings as well as a medical writing company that assisted with manuscript preparation/submission and slide deck assembly for academic meeting presentations of the data., Research Funding. Martinelli:Daiichi Sankyo: Consultancy, Honoraria; Roche: Consultancy, Other: trial grant; Ariad: Consultancy, Other: trial grant; Janssen: Consultancy, Other: trial grant; Amgen: Consultancy, Other: trial grant; Pfizer: Consultancy, Other: trial grant; Abbvie: Consultancy, Honoraria, Other: trial grant; Celgene: Consultancy, Honoraria, Other: trial grant; Novartis: Consultancy, Other: trial grant; Incyte: Consultancy, Other: trial grant. Berman:Astellas: Membership on an entity's Board of Directors or advisory committees, Research Funding. Montesinos:Karyopharm: Membership on an entity's Board of Directors or advisory committees, Other: Research support; Pfizer: Membership on an entity's Board of Directors or advisory committees, Other: Research support, Research Funding, Speakers Bureau; Celgene: Consultancy, Membership on an entity's Board of Directors or advisory committees, Other: Research support, Speakers Bureau; Teva: Membership on an entity's Board of Directors or advisory committees, Other: Research support, Research Funding, Speakers Bureau; Abbvie: Membership on an entity's Board of Directors or advisory committees; Novartis: Membership on an entity's Board of Directors or advisory committees, Other: Research support, Research Funding, Speakers Bureau; Daiichi Sankyo: Consultancy, Membership on an entity's Board of Directors or advisory committees, Other: Research support, Speakers Bureau; Janssen: Membership on an entity's Board of Directors or advisory committees, Other: Research support, Research Funding, Speakers Bureau; Incyte: Membership on an entity's Board of Directors or advisory committees, Speakers Bureau. Baer:Abbvie: Research Funding; Astellas: Research Funding; Al Therapeutics: Research Funding; Forma: Research Funding; Incyte: Research Funding; Kite: Research Funding; Takeda: Research Funding. Larson:Celgene: Consultancy; Agios: Consultancy; Novartis: Honoraria, Other: Contracts for clinical trials. Yokoyama:Astellas: Other: Travel expenses. Recher:Incyte: Honoraria; Astellas: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Sunesis: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Celgene: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Jazz: Consultancy, Honoraria, Membership on an entity's Board of Directors or advisory committees, Research Funding; Amgen: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Novartis: Consultancy, Membership on an entity's Board of Directors or advisory committees, Research Funding; Abbvie: Consultancy, Honoraria, Membership on an entity's Board of Directors or advisory committees; Astellas: Consultancy, Membership on an entity's Board of Directors or advisory committees; Macrogenics: Consultancy, Membership on an entity's Board of Directors or advisory committees. Yoon:MSD: Consultancy; Kyowa Hako Kirin: Research Funding; Janssen: Consultancy; Genentech, Inc.: Research Funding; Amgen: Consultancy, Honoraria; Yuhan Pharma: Research Funding; Novartis: Consultancy, Honoraria. Hill:Astellas: Employment; Ligacept, LLC.: Other: Stock, Patents & Royalties. Rosales:Astellas: Employment. Bahceci:Astellas: Employment, Patents & Royalties.