Advisor News

Displaying 26848 results
Judge dismisses amended complaint in Wells Fargo stock-drop case
EQUITIES JUL 24, 2018
Judge dismisses amended complaint in Wells Fargo stock-drop case

Suit involved decline in price of company stock held in the 401(k) plan after regulators fined Wells.

By Robert Steyer
UBS wealth management profits up 16% in latest quarter
WIREHOUSES JUL 24, 2018
UBS wealth management profits up 16% in latest quarter

The company said the increase was due to revenue growth and improving operational efficiencies.

By Bruce Kelly
Annuity rule likely won't include a fiduciary standard, NAIC says
LIFE INSURANCE AND ANNUITIES JUL 24, 2018
Annuity rule likely won't include a fiduciary standard, NAIC says

The new language, which is still subject to change, explicitly states what had largely been assumed.

By Greg Iacurci
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship
REGULATION AND LEGISLATION JUL 24, 2018
SEC nominee Roisman stresses disclosure, helping investors understand adviser relationship

Sen. Elizabeth Warren presses him on his stance on broker conflicts of interest.

By Mark Schoeff Jr.
Back office should be top of mind for growing advisory firms
RIA NEWS JUL 24, 2018
Back office should be top of mind for growing advisory firms

Delivering a remarkable experience is advisers' best way to differentiate themselves, and the back office plays a key role in delivering that experience

By Dean Cook
Why advisers are turning to Facebook ads to fill seminar seats
FINTECH JUL 24, 2018
Why advisers are turning to Facebook ads to fill seminar seats

The social networking site is tailor-made for targeted marketing.

By John T. Jones
Amazon could be in prime place to shake up asset management industry
FINTECH JUL 24, 2018
Amazon could be in prime place to shake up asset management industry

New report adds fuel to Wall Street's infatuation with company.

By Bloomberg
Intriguing snapshot of HSA users
RETIREMENT PLANNING JUL 24, 2018
Intriguing snapshot of HSA users

Workers who use tax-advantaged health savings accounts are younger, richer and more educated.

By Mary Beth Franklin
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees
RIA NEWS JUL 23, 2018
SEC charges Beverly Hills RIA with keeping $131,000 in unearned fees

Agency says Margaret Black didn't refund money due to 63 clients who left firm.

By InvestmentNews
Fidelity, Empower to keep fiduciary services for 401(k) plan participants
RETIREMENT PLANNING JUL 23, 2018
Fidelity, Empower to keep fiduciary services for 401(k) plan participants

The decisions mean the continuation of many services put in place due to the DOL fiduciary rule.

By Greg Iacurci
Democrats criticize SEC advice rule, push for fiduciary standard
REGULATION AND LEGISLATION JUL 23, 2018
Democrats criticize SEC advice rule, push for fiduciary standard

If party takes over House in 2019, look for increased pressure on the regulator for a stricter duty.

By Mark Schoeff Jr.
How advisers can ride the 'wave of opportunity' of aging clients
RETIREMENT PLANNING JUL 23, 2018
How advisers can ride the 'wave of opportunity' of aging clients

People are healthier and living longer than ever, and MIT AgeLab's Joe Coughlin says advisers are primed to take advantage.

By Ryan W. Neal
SEC charges Cape Cod RIA with $3 million fraud
REGULATION AND LEGISLATION JUL 20, 2018
SEC charges Cape Cod RIA with $3 million fraud

Agency says Kimberly Pine Kitts created fake tax documents to cover up thefts.

By Bloomberg
Democratic senators want Finra to weigh in on SEC advice rule
REGULATION AND LEGISLATION JUL 20, 2018
Democratic senators want Finra to weigh in on SEC advice rule

Warren, Booker, Brown say Finra's interpretation could determine whether measure has teeth.

By Mark Schoeff Jr.
401(k) advisory firms with custom TDFs offer pain, solace to asset managers
RETIREMENT PLANNING JUL 20, 2018
401(k) advisory firms with custom TDFs offer pain, solace to asset managers

The funds offer direct competition but also a way for small or actively managed players to get a piece of the pie.

By Greg Iacurci
The regulatory hole around ETFs gets SEC scrutiny
ETFS JUL 19, 2018
The regulatory hole around ETFs gets SEC scrutiny

The agency is working on an oversight regime for exchange-traded funds; it's also asking questions about the indexes that underpin the ETF market.

By Bloomberg
Checking one off the bucket list
RETIREMENT PLANNING JUL 19, 2018
Checking one off the bucket list

Columnist tests a long-held dream for her retirement and finds it lacking.

By Mary Beth Franklin
Variety of tax benefits help offset the cost of college
RETIREMENT PLANNING JUL 19, 2018
Variety of tax benefits help offset the cost of college

Parents at all income levels can find something that works for them among options that include 529 plans, tax deductions and tax credits.

By Tim Steffen
State Street uses AI to provide a newsfeed relevant to portfolio holdings
FINTECH JUL 19, 2018
State Street uses AI to provide a newsfeed relevant to portfolio holdings

Company believes the technology will help investment managers make better decisions, mitigate risk and generate alpha.

By Ryan W. Neal
Behind closed doors: The big problem with how the SEC is getting insights from investors
REGULATION AND LEGISLATION JUL 19, 2018
Behind closed doors: The big problem with how the SEC is getting insights from investors

Roundtables across country limited to those selected by the agency.

By Mark Schoeff Jr.