Displaying 28149 results
Wall Street fights over tab for audit-trail system
The cost of the new system was estimated at $500 million at the end of last year.
RIA team running 401K to promote 401(k) plans
Chuck Smith and his team at Qualified Plan Advisors will be running 401K, or 250 miles, in honor of National 401(k) Day Friday.
Implications of the SEC rulemaking agenda
The more than a dozen major new rules the agency has proposed or finalized will create significant disruption for investment advisors, with substantial long-term implications.
Wealth management firms need scale to help advisors thrive
Scale offers the solutions, capital and expertise entrepreneurial financial advisors need to serve their clients with distinction and build strong businesses.
Three wealth firms complete M&A to boost assets by more than $16B
Hundreds of advisors are now with new firms following the transactions.
Raymond James adds $317M wealth advisory team
The three financial advisors and four associates join the firm from Avantax.
Men dominate most lucrative college degrees, Bankrate study reveals
Despite efforts to improve gender equality, women are less likely to hold highest earning degrees.
Dollar remains strong but euro gains amid rate hike signal
Oil prices are also elevated as producers extend output cuts.
Why Morgan Stanley has resumed bearish view on EMs
Wall Street stalwart points to China growth risks.
Climate goals need $18T investment, but red tape is in the way
BCG says the speed of greener energy must speed up.
Who are the powerbrokers controlling $3T of global wealth?
Middle East based investment funds are key players in global dealmaking.
Ex-DRW trader allegedly stole quant strategy code
Lawsuit accuses the trader and analyst of copying proprietary software code.
Tax and financial planning questions raised by Diddy’s song rights transfer
Creative control, income and capital gains are among the considerations for songwriters and recording artists.
Schwab execs declare RIA transition from TD a success
Despite some minor glitches and some email outreach confusion, most advisors are handling the change well.
Brokerages make progress, but still fall short on Reg BI compliance: State regulators
'Efforts to address the standard of care concepts established by Reg BI remain perfunctory,' the NASAA report states.
Ex-Wells chief Kowach’s new firm buys Tennessee broker-dealer
The firm, Wiley Bros.-Aintree Capital, is based in Nashville and has been in business since 1945.
$4.5B team from Bank of America Private Bank joins RIA
The five-member team joining Fidelis Capital will operate from an office in Washington, D.C.
Former Wells Fargo exec Tolstedt deserves prison in accounts scandal, US says
Carrie Tolstedt, the bank's former head of retail banking, pled guilty this year to obstructing the investigation of the bank's fake accounts.
Want to invest in part of a luxury auto? There’s a new platform for that
Investors can now own a piece of rare, luxury, investment-grade vehicles.
Focus Financial Partners eyes new growth as $7B take-private completes
The firm has been acquired by Clayton Dubilier & Rice and Stone Point Capital affiliated funds.
