Industry News

Displaying 35397 results
Mature fintechs, not startups, get bulk of funding and acquisition deals: Deloitte report
NEWS FINTECH JAN 21, 2020
Mature fintechs, not startups, get bulk of funding and acquisition deals: Deloitte report

Fintech firms that are at least five years old are receiving more funding and are being acquired more often

By Ryan W. Neal
Another major boost for ESG investing
NEWS RIAS JAN 21, 2020
Another major boost for ESG investing

MSCI rolls out principles of sustainable investing

By Jeff Benjamin
Coaching clients to teach their kids about investing
NEWS OPINION JAN 21, 2020
Coaching clients to teach their kids about investing

Less than half of parents let their kids make real financial decisions, and that’s a problem

By Sarah Newcomb
All-woman team managing $335 million at Morgan Stanley moves to Janney
NEWS PRACTICE MANAGEMENT JAN 21, 2020
All-woman team managing $335 million at Morgan Stanley moves to Janney

The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware

By InvestmentNews
Duo managing $194 million moves from UBS to Raymond James
NEWS BROKER DEALERS JAN 21, 2020
Duo managing $194 million moves from UBS to Raymond James

James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida

By InvestmentNews
UBS hires $10.8 billion team as net new client money in U.S. slides
NEWS WIREHOUSES JAN 21, 2020
UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

By Bruce Kelly
Why retirement plan adviser RFPs are critical to participant success
NEWS OPINION JAN 21, 2020
Why retirement plan adviser RFPs are critical to participant success

And why it’s not happening

By Fred Barstein
The human factor
NEWS PRACTICE MANAGEMENT JAN 21, 2020
The human factor

Behavioral finance continues to garner attention as more advisers seek ways to coach clients from making bad financial decisions based on emotions

By Adam Shell
Embrace the SECURE Act’s opportunity to educate
NEWS RETIREMENT PLANNING JAN 21, 2020
Embrace the SECURE Act’s opportunity to educate

RIAs should be prepared to provide extra guidance

By InvestmentNews
2020 Icons & Innovators
NEWS PRACTICE MANAGEMENT JAN 18, 2020
2020 Icons & Innovators

InvestmentNews honors the icons and innovators who have shaped and transformed the financial advice profession

By InvestmentNews
Early Access: Grab Your Copy of the Full Issue
NEWS INDUSTRY NEWS JAN 18, 2020
Early Access: Grab Your Copy of the Full Issue

By InvestmentNews
On the character of icons
NEWS INDUSTRY NEWS JAN 18, 2020
On the character of icons

The sine qua non of an icon is his or her integrity and honor

By InvestmentNews
Finra names Jessica Hopper head of enforcement
NEWS REGULATION AND LEGISLATION JAN 17, 2020
Finra names Jessica Hopper head of enforcement

The longtime Finra official served as acting enforcement chief since September

By Mark Schoeff Jr.
Why advisers should bring up ESG with clients
NEWS INDUSTRY NEWS JAN 17, 2020
Why advisers should bring up ESG with clients

Help clients put their money where their mouths are

By InvestmentNews
Finra fines Prudential $1M over sloppy retirement-plan information
NEWS RETIREMENT PLANNING JAN 17, 2020
Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

By Mark Schoeff Jr.
2020 adviser outlook: Focus on managing client expectations
NEWS INDUSTRY NEWS JAN 17, 2020
2020 adviser outlook: Focus on managing client expectations

Don't be worried about an imminent recession, says Joan Valenti of Valenti Wealth Management

By InvestmentNews
SEC Commissioner leaving next month
NEWS PRACTICE MANAGEMENT JAN 16, 2020
SEC Commissioner leaving next month

Robert Jackson Jr. to return to teaching at NYU Law School

By Bloomberg
Regulators crack down on teacher pension plans rife with conflicts
NEWS RETIREMENT PLANNING JAN 16, 2020
Regulators crack down on teacher pension plans rife with conflicts

Experts: Recent Delaware settlement a sign of things to come

By Mark Schoeff Jr.
Morgan Stanley eyes 1 million wealth management clients from stock plans
NEWS WIREHOUSES JAN 16, 2020
Morgan Stanley eyes 1 million wealth management clients from stock plans

Technology push at Morgan Stanley comes into focus after Solium Capital acquisition

By Bruce Kelly
Helping clients understand why they aren't beating the S&P 500
NEWS INDUSTRY NEWS JAN 16, 2020
Helping clients understand why they aren't beating the S&P 500

In the best of times, advisers have to remind clients about the worst of times

By Jeff Benjamin