A special congressional committee created by last week's debt ceiling legislation is unlikely to have the time or the political will to tackle any meaningful tax reforms
Effective date on reg is bumped back to April 1
There is a gaping hole in ERISA regulations that allows many investment service providers to escape fiduciary accountability for the advice that they provide to retirement plan sponsors and participants
A federal circuit court yesterday decided that retirement-plan participants can sue third-party insurers under the Employee Retirement Income Security Act of 1974.
Labor Department proposal would push back the effective date for retirement plan service providers to begin disclosing fees to Jan. 1, 2012
Proposed reform mixes in wins for both blues (Democrats) and reds (Republicans); accountants, advisers may boo, however
Owners seek a quick sale -- and pray a bidding war breaks out; $65M house, $22M minimum bid
The head of Schwab Advisor Services apologized yesterday to the firm's RIA clients for sending a marketing piece sent Aug. 9 to advisers' clients who sponsor Schwab-run retirement plans.
A new survey shows investment management firms are spending-much needed capital on beefing up compliance departments -- rather than projects that boost the top line.
Financial advisers up and down the East Coast dealt with the aftermath of Hurricane Irene today as many struggled with communication, commuting or power — and in some cases, all of the above.
Frederick Schultz, Lloyd Seested, David Andreadis, Richard Haskin, Eric Teichberg, and Karen Ben-Shlaush are joining the firm's private wealth group in Washington D.C.
Asset management companies say that greater regulatory burdens are inhibiting growth, although the heightened oversight also may be contributing to a boost in hiring, according to a survey released last week
Robert Stinson Jr., 56, pleaded guilty in federal court in Philadelphia to 26 charges, including wire fraud, mail fraud, money laundering and bank fraud.
Money managers ranked by assets from clients with more than $100M.
Frustrated by ongoing funding challenges at the Securities and Exchange Commission, a consumer group has eased its opposition toward establishing a self-regulatory organization for investment adviser oversight.
Washington and New York will be joined by Oxford, Miss., as centers of the investment adviser universe if a group of students from the University of Mississippi law school succeeds in establishing a self-regulatory organization for advisers
