Complacency over adopting new technology will only lead to a declining business, technology expert Joel Bruckenstein said at the Morningstar Investment Conference this week.
Mr. Thibeault solicited investors to a fund that reported fake consumer loans.
The move would allow insurers to sidestep additional risk in distributing through independent agents.
Studies show publicly available retirement calculators shouldn't be taken at face value.
Two Finra cases this month alone underscore the efforts some registered reps take to sabotage their company when leaving.
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More companies will invest in technology to help them comply with new regulation, according to a SS&C Technologies Holdings survey.
Large, medium and small firms are all on the radar of the SEC and Finra.
Don't let the 'adviser's curse' — the feeling you have to do everything yourself or want to be in control of everything all the time — hold you back.
Group sent letters of admonition to the advisers for misrepresenting their method of payment as fee-only.
Florida planners will continue legal battle over use of fee-only compensation label.
House Republicans rolled out a tax-reform plan on Friday that would reduce the number of individual rates to three and eliminate many deductions.
Labor Department's principles-based rule raising investment advice standards for retirement accounts gives firms flexibility in how to meet compliance.
Not enough investors signed up for the niche platform that started about a year ago.
Interest group argues the fiduciary advisers it represents provide the type of protections intended by the standard.
Most of the loans' issues have been solved, or at least ameliorated.
The star of a late-night HBO comedy show had some biting words for non-fiduciary brokers, high 401(k) fees and active fund management.
The battle over the DOL rule is now moving into the court of public opinion. <i><b>Plus: <a href="//www.investmentnews.com/article/20160613/FREE/160619978/john-oliver-lambasts-u-s-retirement-savings-system-supports-dol"" target=""_blank"" rel="noopener noreferrer">Advisers react to comedian John Oliver's biting takedown of brokers and America's retirement system</a>.</b></i>
Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.
