Industry News

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NEWS EMERGING MARKETS DEC 20, 2016
Top emerging markets for investors in 2017

All things Russian and Indian are popular, as are Brazilian corporate bonds and Mexico's cheap peso.

By Bloomberg
Court ruling gives advisers ammo to fight the SEC over administrative law judges
NEWS RIAS DEC 20, 2016
Court ruling gives advisers ammo to fight the SEC over administrative law judges

Court of Appeals rules judges are unconstitutional because they were hired rather than appointed. <i><b>(More: <a href="//www.investmentnews.com/article/20160710/FREE/160709954/the-secs-case-against-dawn-j-bennett" target="&quot;_blank&quot;" rel="noopener noreferrer">The SEC's case against Dawn J. Bennett </a>)</i></b>

By Jeff Benjamin
NEWS FINTECH DEC 20, 2016
Ameriprise adviser's data breach offers cybersecurity lesson

Because employee carelessness is a leading factor in internet troubles, advisory firms should offer regular training on best practices, experts say.

By Liz Skinner
NEWS FINTECH DEC 20, 2016
Fidelity's eMoney to hit record revenue in 2016

Range of service levels helps fintech firm add 17,000 users since being bought by investment giant

By Liz Skinner
NEWS PRACTICE MANAGEMENT DEC 20, 2016
Why the financial advice industry should focus less on diversity and more on inclusion

By engaging diverse professionals, we can tap into their passions for the benefit of the profession.

By Pamela Sandy and Rianka R. Dorsainvil
NEWS PRACTICE MANAGEMENT DEC 20, 2016
How to help clients achieve sustainable philanthropic giving

Fifty-seven percent of philanthropists surveyed said advisers are necessary collaborators to achieve sustainable results.

By Steve Prostano and Julie Shafer
NEWS RIAS DEC 20, 2016
Private equity's future in the independent retail financial advice industry

There could be a real opportunity for the first time in years for private equity players targeting advisory firms.

By Larry Roth
Wells Fargo fined $1 million by Finra over client reports
NEWS INDUSTRY NEWS DEC 20, 2016
Wells Fargo fined $1 million by Finra over client reports

Firm failed to enforce supervisory systems for the use of consolidated reports generated by their reps, regulator claimed.

By Bruce Kelly
NEWS RETIREMENT PLANNING DEC 19, 2016
Automatic enrollment gaining ground in the smallest 401(k) plans

The trend of automatic enrollment adoption is trickling down to the smallest plans, while employers are also increasing their deferral rates above 3%.

By Greg Iacurci
NEWS FINTECH DEC 19, 2016
Use of artificial intelligence technology in financial services to grow: report

Firms are increasing productivity and personalizing the client experience with AI.

By Liz Skinner
NEWS MUTUAL FUNDS DEC 19, 2016
Research Affiliates' Rob Arnott: 3 reasons you should throw your hat into the emerging-markets' ring

Value, currency and momentum favor the category.

By John Waggoner
NEWS RETIREMENT PLANNING DEC 19, 2016
President Obama's myRA retirement plan slow to gain traction

Unless a lot more people open accounts, the program's impact on America's retirement savings shortfall will remain a rounding error.

By Bloomberg
NEWS RETIREMENT PLANNING DEC 19, 2016
Appeals court sends 401(k) fee case Tibble vs. Edison back to District Court to be reheard

The opinion vacated the Los Angeles District Court's ruling that the case could not proceed because of a statute of limitations on three of six funds in question.

By Hazel Bradford
NEWS RETIREMENT PLANNING DEC 19, 2016
DOL issues final rule on city retirement programs

The regulation is similar to one issued in August around state retirement programs.

By Greg Iacurci
NEWS MUTUAL FUNDS DEC 16, 2016
Managed futures funds gaining traction among advisers

Experiencing poor performance of late, the investment serves as a useful hedge against stock, bond downturns.

By John Waggoner
NEWS FINTECH DEC 16, 2016
Tools financial technology companies plan to bring advisers in 2017

Many of the tools will be inspired by today's customer, who wants the same efficiency and ease they find with Amazon.

By Liz Skinner
NEWS RETIREMENT PLANNING DEC 16, 2016
Natixis launching 401(k) market's first ESG-focused target-date mutual funds

The funds seek to capitalize on the growing popularity of environmental, social and corporate governance investing, and help diversify in an increasingly competitive TDF market.

By Greg Iacurci
NEWS LIFE INSURANCE AND ANNUITIES DEC 16, 2016
Have indexed annuities become too complicated?

The emergence of several &quot;exotic&quot; indices within indexed annuity contracts have arguably made these products more complex than they need to be.

By Greg Iacurci
NEWS RETIREMENT PLANNING DEC 16, 2016
DOL fiduciary rule delay likely and death not out of the question

The rule could ultimately be killed or replaced, but only one course of action by firms provides certainty.

By Blaine F. Aikin
Finra wants to speak with fired Wells Fargo reps connected to cross-selling scandal
NEWS WIREHOUSES DEC 16, 2016
Finra wants to speak with fired Wells Fargo reps connected to cross-selling scandal

By Bruce Kelly