Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.
The Retirement Income Style Awareness profile matrix matches clients' preferences with financial solutions.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
Federal Reserve officials raised rates 75 basis points and forecast a further 1.25 percentage points of tightening before year end.
The decision to raise rates was unanimous and officials forecast they would reach 4.6% in 2023.
But NASAA reports increase in both fines and restitution in 2021, with states collecting $145 million in fines and returning $312 million to investors.
The deal for NPB Financial Group in Burbank is the latest in a modest string of broker-dealer acquisitions occurring against the backdrop of the red-hot M&A market for RIAs.
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
Equitable's new program is aimed at the micro 401(k) market, while American Century launched a product to help select guaranteed income products for plans.
A survey of pension fund managers responsible for nearly $2 trillion worth of assets shows asset allocation decisions are being driven by a focus on climate change and a search for yield.
Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.
The bank remains committed to turning itself around after a series of scandals, but implementing all its plans will take time, Scharf said in prepared testimony for a congressional committee hearing.
The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.
Clients don't have to sell stocks in their individual retirement accounts to take their required minimum distributions.
Nearly 60% of Fidelity Charitable donors plan to give more in 2022 in light of current economic volatility, study says.
The Nolan Group, a father-son team, will join RBC’s New York City office.
Executive Wealth Counselors will assume the Mariner name when the deal closes at the end of the month.
Irvine-based AK Financial Group will transition its RIA to Private Advisor Group's.
