The SEC’s Proposed Liquidity Rule is a Threat to Clients’ Retirement

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About This Episode

The easiest new client to get is the one that you don’t lose. Focusing on client retention is the key to the success of any business – whether you are an RIA or FA with 300 clients, or a mutual fund manager with 300,000 or three million shareholders. What are the lessons learned from past periods of stock and bond market stress applicable to client retention? How can regulators, watching the mutual fund industry and the advisory profession – so important to the national’s retirement savings – benefit from these lessons?

About Our Guest

Avi Nachmany brings 38 years of perspective of the mutual fund and ETF industry. He co-founded Strategic Insight, a thought leadership and business intelligence firm for the leaders of the mutual fund industry.

Avi served as the firm’s director of research for over two decades. Today he is an advisor helping several firms in the mutual fund / ETF industry. He is also an independent mutual fund director.

Avi studied mutual fund redemptions at length, shareholder retention, and fund liquidity. In 2015, Avi’s study on the topic was shared with the SEC and was widely circulated in the fund industry. This study summarized fund liquidity patterns over three-decades and was titled: Mutual Funds and Systemic Risk: The Reassuring Lessons of Stability Amid Past Periods of High Financial Markets Volatility

Show Notes

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