Advisor News

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PRACTICE MANAGEMENT APR 19, 2009
UBS to overhaul its retail business

As part of a massive overhaul of its U.S. wealth management business, UBS AG is set to shed up to 2,000 jobs, shrink its regional operations and consolidate a number of branches here over the next several months.

By Mark Bruno
ALTERNATIVES APR 19, 2009
Advisers are wary of the federal toxic-debt program

The government's Public-Private Investment Program — designed to remove bad assets from bank balance sheets and promote lending — will help turn around the economy in the short run, but perhaps not long-term, according to financial advisers.

By Sara Hansard
FINTECH APR 19, 2009
The new adviser imperative: Getting the most bang for your technology buck

How can you get the most out of your technology investments?

By Bloomberg
FINTECH APR 19, 2009
A good time to go paperless?

By Lisa Shidler
FINTECH APR 19, 2009
Dreaming the adviser software integration dream

By Davis Janowski
FINTECH APR 19, 2009
How small advisory firms can look big

By Evan Cooper
FINTECH APR 17, 2009
Money Tree to unveil financial planning software

Distribution Solutions, which is being beta tested, is designed to help advisers solve several financial planning conundrums such as comparing lump sum payout tax consequences with rolling the assets into an individual retirement account.

By Davis Janowski
OPINION APR 17, 2009
Now may be the time to buy that vacation home

By Charles J. Farrell
RETIREMENT PLANNING APR 15, 2009
Require 401(k) plans to offer fixed-income products, key congressman says

Requiring annuities or other fixed-income products be included as an option in 401(k) plans is being considered by the House Education and Labor Committee, said Rep. Robert Andrews, D-N.J., chairman of the committee’s Health, Employment Labor and Pensions Subcommittee.

By Sara Hansard
RETIREMENT PLANNING APR 14, 2009
Beware incredible shrinking 401(k) match, consultant warns

Nearly 200 corporations have already stopped matching workers' contributions to their 401(k) plans and the number could very well accelerate — and possibly double — in the coming months.

By Mark Bruno
RETIREMENT PLANNING APR 14, 2009
Size of plan, pay-in rates help lower retirement plan fees, survey says

Lower fees for defined contribution retirement plans are related to factors such as the size of the plan, higher contribution rates by employers and employees, and greater use of automatic enrollment.

By Sara Hansard
REGULATION AND LEGISLATION APR 13, 2009
Ex-NFL star scores $950K arbitration against Morgan Keegan

Morgan Keegan has been stung in another arbitration case involving its bond funds, this time losing a $950,000 claim to an ex-NFL Pro Bowl star with the Kansas City Chiefs.

By Bruce Kelly
OPINION APR 12, 2009
For fiduciaries, loyalty is everything

Woodrow Wilson may have been right when he said, "Loyalty means nothing unless it has at its heart the absolute principle of self-sacrifice."

By Blaine F. Aikin
REGULATION AND LEGISLATION APR 12, 2009
The meaning of 'fiduciary' is suddenly up for grabs

Trust is a five-syllable word. That word is fiduciary. As investors discuss "gates" in hedge funds and losses in portfolios, the term "in a client's best interests" is open to debate.

By Charlotte B. Beyer
REGULATION AND LEGISLATION APR 12, 2009
Arbitrations cost Morgan Keegan big

Investors who are battling Morgan Keegan over the blowup of its bond funds are on a hot streak, with a former Major League Baseball all-star among the recent arbitration winners.

By Bruce Kelly
FINTECH APR 10, 2009
Managed-account communication standards gain approval

The Money Management Institute’s board of governors this week approved the release and publication of the Account Origination and Maintenance Standards release Version 1.0.

By Davis Janowski
FINTECH APR 09, 2009
Survey: Firms failed to use websites to reassure clients

The majority of financial services firms did not include information about the financial crisis on their websites’ home pages from when the crisis began in October through February, according to a study released today by Weber Shandwick.

By Sue Asci
REGULATION AND LEGISLATION APR 07, 2009
Goldman's Blankfein backs wide-ranging financial industry regs

The chief executive of Goldman Sachs Group Inc. today called for new standards on how Wall Street executives are compensated and new regulation of large hedge funds and private-equity funds.

By Bloomberg
WIREHOUSES APR 07, 2009
Discount-brokerage firms trump wirehouses in customer satisfaction, survey says

In a customer service satisfaction survey of 17 brokerage firms, discount-brokerage firms scored better in terms of navigating clients through the market downturn last year, compared with larger, full-service brokers, according to Consumer Reports.

By Sue Asci
FINTECH APR 07, 2009
Options Industry Council announces web education program for advisers

The Options Industry Council has announced a new effort to serve the educational needs of financial advisers by launching a dedicated adviser web portal and the addition of Eric S. Cott as director of financial adviser education.

By Bloomberg