Industry News

Displaying 35443 results
Markets are putting a price on climate risks
NEWS INDUSTRY NEWS DEC 04, 2019
Markets are putting a price on climate risks

Two new studies suggest, however, that financial markets have started seriously pricing carbon risk, especially since the Paris Agreement of 2015.

By Peter R. Orszag
Calpers scales back on 'emerging' equity fund managers as returns lag
NEWS INDUSTRY NEWS DEC 04, 2019
Calpers scales back on 'emerging' equity fund managers as returns lag

Launched in 1991, the program has failed to produce acceptable gains.

By Bloomberg
Creative Planning to acquire $300M RIA
NEWS INDUSTRY NEWS DEC 03, 2019
Creative Planning to acquire $300M RIA

Creative Planning to acquire $300 million Hogan Financial Firm founded by Paula Hogan is based in Milwaukee, Wis.

By InvestmentNews
Client behavior is a better benchmark for measuring success
NEWS OPINION DEC 03, 2019
Client behavior is a better benchmark for measuring success

The most critical part of a financial plan is usually whether or not the client has done their part.

By Sarah Newcomb
Adam Antoniades promoted to CEO of Cetera
NEWS INDUSTRY NEWS DEC 03, 2019
Adam Antoniades promoted to CEO of Cetera

Takes reins from chairman and interim CEO Ben Brigeman.

By InvestmentNews
Millennium Trust Co. announces expansion
NEWS INDUSTRY NEWS DEC 03, 2019
Millennium Trust Co. announces expansion

Acquires Liberty Trust Company, custodian for specialized Individual Retirement Accounts.

By Bloomberg
Galvin says retirees led astray with investment in gold and silver coins
NEWS INDUSTRY NEWS DEC 03, 2019
Galvin says retirees led astray with investment in gold and silver coins

Regulator charges firm with persuading six investors to liquidate retirement accounts to buy precious metals.

By Bloomberg
What will happen to the little RIA when Schwab acquires TD Ameritrade?
NEWS RIAS DEC 03, 2019
What will happen to the little RIA when Schwab acquires TD Ameritrade?

Deals by giants often overlook the little guy.

By Bruce Kelly
Warren wealth tax could be stymied by constitutional challenge
NEWS INDUSTRY NEWS DEC 03, 2019
Warren wealth tax could be stymied by constitutional challenge

How Democrats could get a wealth tax past the U.S. Supreme Court.

By Bloomberg
Finra arbitrators order UBS to pay female brokers $171,445
NEWS WIREHOUSES DEC 03, 2019
Finra arbitrators order UBS to pay female brokers $171,445

UBS considers low damages award an 'overwhelming rejection' of their claims.

By Mark Schoeff Jr.
NEWS INDUSTRY NEWS DEC 03, 2019
What's the value of an inorganic growth strategy

By InvestmentNews Create
Team managing $550 million at Northwestern Mutual goes indie with LPL
NEWS INDUSTRY NEWS DEC 02, 2019
Team managing $550 million at Northwestern Mutual goes indie with LPL

Thirteen-member Gatewood Wealth Solutions is based in St. Louis.

By InvestmentNews
UBS joins Credit Suisse in focus on lowest ranks of wealthy
NEWS INDUSTRY NEWS DEC 02, 2019
UBS joins Credit Suisse in focus on lowest ranks of wealthy

Clients in Switzerland with between $500,000 and $5 million in assets will fall under a new coverage model that uses more tech, fewer human interactions, according to a memo

By Bloomberg
LPL improves ClientWorks to chop five minutes from account opening process
NEWS INDUSTRY NEWS DEC 02, 2019
LPL improves ClientWorks to chop five minutes from account opening process

New tool is the start of a series of technology enhancements aimed at saving advisers time.

By Ryan W. Neal
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule
NEWS REGULATION AND LEGISLATION DEC 02, 2019
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule

Bay State, New Jersey regulations could set standard for other states

By Mark Schoeff Jr.
Volatility futures may be subdued because of all the volatility ETPs
NEWS INDUSTRY NEWS DEC 02, 2019
Volatility futures may be subdued because of all the volatility ETPs

Cboe Volatility Index futures have been quiet recently as U.S. stocks reached new highs.

By Bloomberg
Wall Street's top S&P 500 bull is less upbeat about 2020
NEWS INDUSTRY NEWS DEC 02, 2019
Wall Street's top S&P 500 bull is less upbeat about 2020

Deutsche Bank's chief global strategist sees the benchmark ending 2020 at the same level he's predicting for the end of this year.

By Bloomberg
NEWS INDUSTRY NEWS DEC 01, 2019
The evolution of the family office

By InvestmentNews Create
NEWS INDUSTRY NEWS DEC 01, 2019
Sheryl Garrett changed an industry when she set out to serve clients by the hour

By InvestmentNews
Treading a fine line with clients when politics comes up
NEWS INDUSTRY NEWS NOV 30, 2019
Treading a fine line with clients when politics comes up

Advisers try to stay neutral and focus on portfolios, but it's not always possible in highly charged times.

By Mark Schoeff Jr.