News

Displaying 43040 results
RIAS MAY 21, 2018
Iconiq fires executive after 30-year-old sexual assault charge comes to light

As #MeToo movement rages, big investors are taking deeper look at who handles their money.

By Bloomberg
ALTERNATIVES MAY 21, 2018
Gold bulls head for the exits on strong dollar, lack of fear

Even physical demand has been slowing.

By Bloomberg
REGULATION AND LEGISLATION MAY 21, 2018
Pass-through tax strategies for business-owner clients

Shifting business structure, changing filing status and spinning off equipment are examples of ways business owners can take advantage of the deduction.

By Greg Iacurci
The end of the Goldilocks credit markets?
OPINION MAY 21, 2018
The end of the Goldilocks credit markets?

Going forward, the fixed-income environment may favor more sophisticated active approaches, such as flexible 'best ideas' strategies.

By Gautam Khanna
REGULATION AND LEGISLATION MAY 21, 2018
State regulators launch 'Operation Cryptosweep' to crack down on fraud

NASAA announces series of investigations, enforcement actions in U.S. and Canada targeting shady initial coin offerings and cryptocurrency products.

By InvestmentNews
RIAS MAY 21, 2018
Unlimited vacation time: a nice perk no one expects you'll use

It helps advisory firms recruit, but employees soon realize it's really not practical to take much more time off than the average worker. ​ 

By Jeff Benjamin
REGULATION AND LEGISLATION MAY 21, 2018
Arbitration over employment agreement nets adviser $267,000

Finra says broker Francis Mitchell and Coastal Equities owe each other money.

By InvestmentNews
REGULATION AND LEGISLATION MAY 21, 2018
Finra anticipates oversight role for SEC advice rule

CEO Robert Cook says one area for examination could be the proposed requirement that brokers act in the best interests of their clients.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 21, 2018
When skewed super-OSJ priorities raise red flags for retirement plan advisers

If a super-OSJ switches broker-dealers, overhauls its business model or ends up being acquired, that could be disruptive for the advisers that work with it.

By Rick Kent
REGULATION AND LEGISLATION MAY 19, 2018
Transparency, credibility, fairness: Finra's decision to explain rationale for penalties is a welcome one

Agency strikes a balance between punishment and deterrence.

By crain-api
OPINION MAY 19, 2018
Financial schemes against seniors are most often committed by people closest to them

Advisers can — and should — take steps to discourage elder financial fraud.

By crain-api
OPINION MAY 19, 2018
Why we must create a more diverse and sustainable financial planning profession

CEO explains how, why a firm should commit to conscious inclusion.

By Marguerita Cheng
The gig economy as a backup retirement plan
RETIREMENT PLANNING MAY 18, 2018
The gig economy as a backup retirement plan

Some workers embrace side hustles to boost their nest eggs.

By Mary Beth Franklin
RETIREMENT PLANNING MAY 18, 2018
Rich are abuzz over tax-cutting dynasty trusts

Tax overhaul's doubling of the estate-tax exemption to $22 million has generated interest in the trusts

By Bloomberg
REGULATION AND LEGISLATION MAY 18, 2018
Pope Francis wants financial advisers to work like fiduciaries

Vatican bulletin admonishes advisers who act against the best interests of their clients.

By Bruce Kelly
REGULATION AND LEGISLATION MAY 18, 2018
UBS wins $9.7 million Finra award

Brokerage recoups settlement costs from a lawsuit filed by the ex-wife of a former client.

By Jeff Benjamin
REGULATION AND LEGISLATION MAY 18, 2018
Wells Fargo's latest issue emerges amid bank's rebranding campaign

News that bank's wholesale unit altered the records of corporate clients sent its stock lower Thursday

By Bloomberg
INDUSTRY NEWS MAY 18, 2018
Long-term outlook for gold is upbeat given tech, emerging markets

But we should talk about the short-term outlook.

By John Waggoner
INDUSTRY NEWS MAY 17, 2018
Employees at best places to work focus on the person — and the fun

Employees at best places to work firms focus on the person and fun.

By Bloomberg
RETIREMENT PLANNING MAY 17, 2018
The gig economy as a backup retirement plan

Some workers embrace side hustles to boost their nest eggs.

By Mary Beth Franklin