Alternatives to charging a percentage of AUM might broaden market for financial advice, group suggests.
Firm had out-of-date procedures and delayed handing over email records to examiners, Connecticut securities regulators said.
Wirehouse CEO looks to reduce compensation to 55% of revenue from around 60% as brokers do more banking and lending.
Primary risk for wealth managers is when a hacker poses as a client and manipulates accounts.
A pension fund has sued JPMorgan Chase & Co. and CEO James Dimon, accusing the bank of creating “a culture of lawlessness” that led to billions of dollars in settlements tied to mortgage-backed securities and Bernard Madoff's Ponzi scheme.
Cloud software helps advisers keep track of the minutiae.
As cybercriminals and hacktivists get smarter, midtier wealth managers face greater risks.
Consultant Bill Winterberg and RIA April Rudin offer advice on how to protect your firm from hack attacks and cyberfrauds.
A trade group's study says tough competition between fund managers is driving fees down — but investors still may not be getting a good deal. Compare your fees to the averages.
Appeals court reinstates arbitration panel's ruling that had been vacated by lower court.
New taxes on foreign bank accounts and investments aim to limit tax evasion, but at what cost?
<i>Breakfast with Benjamin</i> The (awesome) value of Twitter. Plus: J.D. Power's annual survey of advisers' job satisfaction, mid-year stock review, yes, ETF cost matters, bringing back volatility, and a car maker returns.
On Friday's menu: Inflation without wage growth: Cause for concern? Plus: The Fed has painted itself into a corner, consumer stocks are likely to take a hit, bracing for Treasury yield volatility, silver outshines gold in June, and how to live to be 100.
Custodian's “Lending Ball” tech tool finds matches for securities lending.
Eric Cantor's demise will increase partisan tension in Washington; for investment advisers, whose issues are usually ignored by lawmakers who don't understand their industry, it makes pushing their agenda even more difficult.
Financial advisers often ask me how they can persuade their clients to delay collecting Social Security benefits.
Smarsh survey finds 88% of firms issue mobile devices to employees who use them to IM, text and tweet.
'Near ubiquitous' social-media use drives growth in a nascent market, research firm reports
CIO Chris Randazzo says 3D has 'turned the corner,' while upgrade continues
Risk management, asset allocation features appeal to younger investors, study finds.
