Advisor News

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SEC warns of 'credential stuffing' cyberattacks
FINTECH SEP 28, 2020
SEC warns of 'credential stuffing' cyberattacks

Criminals are increasingly gaining access to login credentials by using programs that troll the dark web for usernames and passwords

By Nicole Casperson
INmail: Increase in grandson’s dependent benefit should be automatic
RETIREMENT PLANNING SEP 28, 2020
INmail: Increase in grandson’s dependent benefit should be automatic

The grandson is entitled to dependent benefits until he turns 18 or 19 if he is still in high school.

By Mary Beth Franklin
Struggling with organic growth? Go back to the basics
OPINION SEP 28, 2020
Struggling with organic growth? Go back to the basics

The advisers doing best right now are those who execute the little things

By Ron Carson
The SEC’s adoption of e-delivery is well overdue
REGULATION AND LEGISLATION SEP 27, 2020
The SEC’s adoption of e-delivery is well overdue

The commission must consider carefully the interests and needs of all investors

By InvestmentNews
When finance gets political
REGULATION AND LEGISLATION SEP 27, 2020
When finance gets political

If you’re being yelled at by acolytes of either extreme, then you’re doing it right

By George Moriarty
Precious metals dealers charged in $185 million elder fraud scheme
RETIREMENT PLANNING SEP 25, 2020
Precious metals dealers charged in $185 million elder fraud scheme

The unregistered advisers allegedly convinced retirees to put savings into overpriced gold and silver bullion

By Mark Schoeff Jr.
Adviser bilked more than $100,000 from investment partnerships: SEC
REGULATION AND LEGISLATION SEP 25, 2020
Adviser bilked more than $100,000 from investment partnerships: SEC

The regulator is seeking permanent injunctions against Oscar Haynes Morris Jr. and his RIA Lakeside Capital Partners

By InvestmentNews
Older women anxious about finances in retirement: GAO report
RETIREMENT PLANNING SEP 25, 2020
Older women anxious about finances in retirement: GAO report

Retired women in 14 focus groups are worried about rising health care costs

By InvestmentNews
Here's why advisers think Joe Biden's 401(k) tax plan will spur Roth contributions
RETIREMENT PLANNING SEP 24, 2020
Here's why advisers think Joe Biden's 401(k) tax plan will spur Roth contributions

The Democratic presidential nominee would convert retirement savings tax deferrals to tax credits

By Mark Schoeff Jr.
Employers, workers want much more than 401(k)s from RPAs
RETIREMENT PLANNING SEP 24, 2020
Employers, workers want much more than 401(k)s from RPAs

Companies are five times as likely to say they feel responsible for workers' financial wellbeing than seven years ago, a survey found

By Emile Hallez
Envestnet inks data-sharing deal with Wells Fargo amid FTC inquiry
FINTECH SEP 24, 2020
Envestnet inks data-sharing deal with Wells Fargo amid FTC inquiry

The agreement is meant to increase protection of consumer data shared with supported apps

By Nicole Casperson
Complying with state senior reporting statutes
OPINION SEP 24, 2020
Complying with state senior reporting statutes

Firms must consider the interplay between different reporting laws in each state to maximize their immunity

By Andrew Mount
State regulators flexed enforcement muscle in 2019
PRACTICE MANAGEMENT SEP 23, 2020
State regulators flexed enforcement muscle in 2019

The NASAA report shows last year produced the most actions taken and money returned to investors in five years

By Mark Schoeff Jr.
B-Ds may be more likely to recommend complex products than RIAs
RIA NEWS SEP 23, 2020
B-Ds may be more likely to recommend complex products than RIAs

The NASAA report analyzed the results of a benchmarking exam taken prior to implementation of Reg BI

By InvestmentNews
Finra proposal to tighten expungement process heads to SEC
REGULATION AND LEGISLATION SEP 23, 2020
Finra proposal to tighten expungement process heads to SEC

The rule would establish a special roster of arbitrators for expungement and set deadlines for requests

By Mark Schoeff Jr.
Mutual of Omaha settles ERISA lawsuit for $6.7 million
RETIREMENT PLANNING SEP 23, 2020
Mutual of Omaha settles ERISA lawsuit for $6.7 million

The agreement would end the class-action suit brought in early 2018

By Emile Hallez
AssetMark launches portfolio management tech for videoconferencing
FINTECH SEP 23, 2020
AssetMark launches portfolio management tech for videoconferencing

The new tools allow advisers to present client proposals and portfolio reviews online

By Nicole Casperson
SSN back office faces layoffs after Advisor Group merger
INDEPENDENT BROKER DEALERS SEP 23, 2020
SSN back office faces layoffs after Advisor Group merger

Half of the employees will stay on, but some portion will likely be let go, according to sources

By Bruce Kelly
Convergence of benefits, wealth and retirement planning is coming
RETIREMENT PLANNING SEP 23, 2020
Convergence of benefits, wealth and retirement planning is coming

Advisers need to get on board

By Fred Barstein
8 questions analysts should ask in the wake of BLM
OPINION SEP 23, 2020
8 questions analysts should ask in the wake of BLM

Hold companies accountable during this earnings season for their promises of racial equity

By Josh Levin