Investment Management

FSR advocates on behalf of members that provide investment products and services to individual and institutional investors, businesses, not-for-profit organizations, and governments (federal, state, and local); manage investments for themselves or their clients; provide financial, investment, or advisory services; and underwrite, deal-in, or make markets in capital markets financial instruments. 

Current Investment Management Priorities: 

  • Fiduciary Duties and Standards of Care
  • Systemic Risk Review of Asset Management
  • Retirement Planning and Saving
  • Regulating Municipal Securities Disclosures
  • Investment Funds Regulation
  • Retail Securities Issues
  • U.S. Securities Market Structure, Resiliency and Oversight
Media Advisory: Financial Services Roundtable and United Technologies to Host Event on ‘Better Serving Your Employees, New Ideas for Enhancing Employees’ Retirement Security’ in Hartford

On Friday, June 17, the Financial Services Roundtable (FSR) and United Technologies (UTC) will host an event at The Society Room in Hartford, Connecticut, featuring leading employers and experts discussing how to help workers achieve financial success in retirement, while recognizing Hartford-area employers who are already doing it right.

Keeping Seniors $afe from Financial Fraud

June 15 is World Elder Abuse Awareness Day, and much more work needs to be done to raise awareness regarding how to better protect vulnerable seniors from predators seeking to steal the financial security they built over a lifetime.

POLL: 2016 Presidential Focus Series – Agenda Setting

    With the 2016 Republican and Democratic national conventions quickly approaching, FSR is launching a presidential focus series highlighting the top issues the candidates should focus on.

FSR Comment Letter on Notice of Proposed Rulemaking on Implementing Section 205 of the Dodd-Frank Act

The Rules of the Road for Retirement are Changing, but for the Better?

This month the U.S. Department of Labor released its controversial “fiduciary rule” which impacts the sale of retirement income products, such as an Individual Retirement Account (IRA), and is intended to ensure the product purchased is in the customer’s best interest. The rule is 1,023 pages and will dramatically reshape the delivery of...