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The Market for Retirement Financial Advice

Olivia S. Mitchell and Kent Smetters (eds)

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.001.0001
Subject:
Business and Management, Pensions and Pension Management

The market for retirement financial advice has never been more important and yet more in flux. The long-term shift away from traditional defined benefit pensions toward defined contribution personal ... More


The Market for Financial Advisers

John A. Turner and Dana M. Muir

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0002
Subject:
Business and Management, Pensions and Pension Management

This chapter discusses the market for financial advisers. Because many people are not financially sophisticated, the quality of financial advice is a retirement policy concern. Financial advisers ... More


Efficient Retirement Financial Strategies

William F. Sharpe, Jason S. Scott, and John G. Watson

in Recalibrating Retirement Spending and Saving

Published in print:
2008
Published Online:
January 2009
ISBN:
9780199549108
eISBN:
9780191720734
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199549108.003.0009
Subject:
Business and Management, Pensions and Pension Management

Today's retirees face the daunting task of determining appropriate investment and spending strategies for their accumulated savings. Financial economists have addressed their problem using an ... More


6. Component Costs: Analysis

Lynn M. Lopucki and Joseph W. Doherty

in Professional Fees in Corporate Bankruptcies: Data, Analysis, and Evaluation

Published in print:
2011
Published Online:
May 2011
ISBN:
9780195337723
eISBN:
9780199893942
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195337723.003.0006
Subject:
Law, Company and Commercial Law

Chapter 3 explored the determinants of total professional fees and expenses. This chapter explores the determinants of the two principal components of those fees and expenses: the fees and expenses ... More


Regulating Financial Planners: Assessing the Current System and Some Alternatives 1

Jason Bromberg and Alicia P. Cackley

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0014
Subject:
Business and Management, Pensions and Pension Management

This chapter reviews US federal and state regulation of financial planners, and it also addresses concerns related to consumer confusion over the standards of care that planners provide and the ... More


How Financial Advisers and Defined Contribution Plan Providers Educate Clients and Participants about Social Security

Mathew Greenwald, Andrew G. Biggs, and Lisa Schneider

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0004
Subject:
Business and Management, Pensions and Pension Management

American workers have demonstrated relatively low levels of knowledge of how Social Security works. Most claim benefits at age 62, far earlier than many experts believe is optimal. Early claiming has ... More


Financial Planners and Advisors

Benjamin F. Cummings

in Financial Behavior: Players, Services, Products, and Markets

Published in print:
2017
Published Online:
May 2017
ISBN:
9780190269999
eISBN:
9780190270025
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190269999.003.0006
Subject:
Economics and Finance, Financial Economics

An increasing number of households use financial planners or advisors. This chapter provides insight into these professionals, their potential motivations, and their interactions with clients. The ... More


The Psychology of Millennials

April Rudin and Catherine McBreen

in Financial Behavior: Players, Services, Products, and Markets

Published in print:
2017
Published Online:
May 2017
ISBN:
9780190269999
eISBN:
9780190270025
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190269999.003.0014
Subject:
Economics and Finance, Financial Economics

This chapter focuses on the financial mindset and behaviors of Millennials, and how they interact with financial advisors. Millennials have surpassed Baby Boomers as the productive generation and are ... More


Trust, Conflicts of Interest, and Fiduciary Duties: Ethical Issues in the Financial Planning Industry in Australia

Seumas Miller

in Capital Failure: Rebuilding Trust in Financial Services

Published in print:
2014
Published Online:
October 2014
ISBN:
9780198712220
eISBN:
9780191780752
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198712220.003.0014
Subject:
Economics and Finance, Financial Economics, Economic Systems

This chapter describes the Future of Financial Advice (FOFA) legislation introduced in Australia to deal with problems in the professional ethics of financial advisors. The legislation bans various ... More


Aging and Exploitation: How Should the Financial Service Industry Respond?

Marguerite DeLiema and Martha Deevy

in Financial Decision Making and Retirement Security in an Aging World

Published in print:
2017
Published Online:
November 2017
ISBN:
9780198808039
eISBN:
9780191847165
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198808039.003.0009
Subject:
Business and Management, Pensions and Pension Management, Finance, Accounting, and Banking

Elder financial victimization is a growing problem facing older Americans. As the conduits of financial transactions, financial firms are positioned to stop losses at their source. Representatives at ... More


Fiduciary Duties and Responsibilities of Portfolio Managers

Remus D. Valsan and Moin A. Yahya

in Portfolio Theory and Management

Published in print:
2013
Published Online:
May 2013
ISBN:
9780199829699
eISBN:
9780199979790
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199829699.003.0008
Subject:
Economics and Finance, Financial Economics

The rules governing persons occupying a fiduciary role form a dynamic area of law. With deep historical roots, fiduciary relations have expanded beyond the established categories such as ... More


Financial Advice

John Armour, Dan Awrey, Paul Davies, Luca Enriques, Jeffrey N. Gordon, Colin Mayer, and Jennifer Payne

in Principles of Financial Regulation

Published in print:
2016
Published Online:
October 2016
ISBN:
9780198786474
eISBN:
9780191828782
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198786474.003.0011
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

Individuals who want to access the financial system face a bewildering range of potential choices. In selecting amongst financial products, they may either act on their own initiative and based on ... More


Delegated Investing

Andrew Ang

in Asset Management: A Systematic Approach to Factor Investing

Published in print:
2014
Published Online:
August 2014
ISBN:
9780199959327
eISBN:
9780199382323
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199959327.003.0015
Subject:
Economics and Finance, Financial Economics

What is best for the asset owner (principal) is usually not best for the delegated fund manager (agent). Principal–agent conflicts can be mitigated by appropriate governance structures and contracts. ... More


The Psychology of Women Investors

Margauerita M. Cheng and Sameer S. Somal

in Financial Behavior: Players, Services, Products, and Markets

Published in print:
2017
Published Online:
May 2017
ISBN:
9780190269999
eISBN:
9780190270025
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190269999.003.0013
Subject:
Economics and Finance, Financial Economics

The role of financial decision maker in a household has evolved over time. Decades ago, women held traditional roles of caregiver, housekeeper, and wife. Today, more women are pursuing higher ... More


Agency and the Retail Distribution of Financial Products

Gerard McMeel

in Agency Law in Commercial Practice

Published in print:
2016
Published Online:
June 2016
ISBN:
9780198738473
eISBN:
9780191821233
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198738473.003.0010
Subject:
Law, Company and Commercial Law

The use of agents is widespread in the financial services industry, and yet the complexity and occasional opacity of intermediation throws up a number of legal problems. This chapter considers the ... More


Fund Managers and Their Investors

Diane-Laure Arjaliès, Philip Grant, Iain Hardie, Donald MacKenzie, and Ekaterina Svetlova

in Chains of Finance: How Investment Management is Shaped

Published in print:
2017
Published Online:
July 2017
ISBN:
9780198802945
eISBN:
9780191841385
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198802945.003.0003
Subject:
Business and Management, Finance, Accounting, and Banking

Chapter 3 examines the mechanisms through which clients impact fund managers’ practices and vice versa. The discussion encompasses fixed income investment as well as investment in shares. In both ... More


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