Marc Ross, CFA, is an experienced investment professional with a varied skill set that encompasses third party manager research and due diligence, securities compliance, investment advisory, and ERISA qualified plan design, sales, and implementation. In addition to the CFA charter, Ross holds the CFP® and CLU designations.
Modern Compliance is an ambitious undertaking that brings together the myriad complexities of governing the investment professional.
The authors have compiled a highly readable, entertaining, and well-informed collection of articles on the history and development of the quantitative techniques of stock selection.
William Birdthistle provides a witty description of mutual fund design and categorizes its imperfections entertainingly, offering more palatable alternatives. This slender volume is a welcome addition to the library of the professional and retail investor alike.
Household finance was once the investment and planning wallflower, but this is no longer the case. Stacked vertically, these three tomes, numbering about 1,000 pages each, could well serve as a footstool. And just as a footstool provides access to something otherwise out of reach, this extensive collection affords readers access to a rich chronology of developments in this field hitherto dispersed in academic journals.
Global macro is as much an exercise in navigating the political economy as it is an alternative investment strategy. Practitioners must recognize its limitations and remember that change is the one constant.
Providing a general overview of salient topics in risk management, this book is best suited to the experienced risk manager, who can turn to it for technical guidance and a good, succinct refresher on select topics. The beginner would do well to stick with the book’s qualitative discussions, which can serve as useful points of departure for further study.
Like their emerging market forebears, frontier markets present unique and profitable opportunities for those willing to do the hard work. A veteran of the emerging market and frontier market spaces, author Marko Dimitrijević, CFA, attempts to close the gap between misperception and reality regarding this part of the investment world. Not merely a primer on these markets, Frontier Investor offers a basic, succinct grounding in emerging market and frontier market attributes and the intellectual toolkit with which to approach them. Both experienced and novice investors will find the book’s reflections and guidance at once entertaining and useful.
The Epicurean Dealmaker ran during a financially tumultuous period from early 2007 to around April 2015, when its pseudonymous investment banker author appeared to have signed off for the last time. It is a treasure of erudition, wit, recalcitrance, irreverence, and self-deprecation, writes Marc Ross, CFA.
Tucked away in the early days of the financial crisis, the auction rate securities (ARS) debacle has been largely relegated to the dim recesses of memory. However, investors and advisers should not downplay its significance.
Finance professionals are now entrusted with a higher standard of care, and staying up-to-date on the myriad compliance rules and best practices can be a tall order. Marc L. Ross, CFA, has some suggestions to help you succeed in your compliance efforts.
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