Advisor News

Displaying 28317 results
Levering tech for financial wellness
RETIREMENT PLANNING MAR 23, 2019
Levering tech for financial wellness

Tech-augmented financial wellness will yield better results as wellness programs become a standard offering for employers.

By Andrea Dinneen and Mariel Beasley
BlackRock pivoting to technology could serve as blueprint for other asset managers
RETIREMENT PLANNING MAR 23, 2019
BlackRock pivoting to technology could serve as blueprint for other asset managers

Use of managed accounts and new products threatens to squeeze fund managers out.

By Ryan W. Neal
Cybersecurity poses strain between plan sponsors, record keepers
OPINION MAR 23, 2019
Cybersecurity poses strain between plan sponsors, record keepers

Vendors reluctant to provide details on cyberdefenses.

By Tim Rouse
Don't write off ESG investments out of habit — the demand is real
RETIREMENT PLANNING MAR 23, 2019
Don't write off ESG investments out of habit — the demand is real

There is appetite from 401(k) participants, and options to feed them.

By crain-api
Blockchain will upend the 401(k) market
RETIREMENT PLANNING MAR 23, 2019
Blockchain will upend the 401(k) market

The technology has the potential to change and improve how advisers do business.

By Greg Iacurci
SEC lifts hiring freeze, lowers pay raises
REGULATION, LEGAL & COMPLIANCE MAR 22, 2019
SEC lifts hiring freeze, lowers pay raises

Current employees will be getting pay increases averaging 2.4%, which smaller boost than previous years

By Bloomberg
Top performing advice firms have a distinctive focus on technology
FINTECH MAR 22, 2019
Top performing advice firms have a distinctive focus on technology

Top performers also spend twice as much: InvestmentNews technology survey.

By Ryan W. Neal
Merrill Lynch settles with SEC over ADR trading abuses
REGULATION, LEGAL & COMPLIANCE MAR 22, 2019
Merrill Lynch settles with SEC over ADR trading abuses

Firm will pay more than $8 million for mishandling 'pre-released' ADRs.

By InvestmentNews
Warren, Brown ask regulators to oust Wells Fargo CEO Sloan
PRACTICE MANAGEMENT MAR 22, 2019
Warren, Brown ask regulators to oust Wells Fargo CEO Sloan

The two senators call on the Office of the Comptroller of the Currency and the Consumer Financial Protection Bureau to remove Sloan from the bank's top job

By Bloomberg
Voya Financial Advisors exposes more sensitive adviser information on its website
FINTECH MAR 22, 2019
Voya Financial Advisors exposes more sensitive adviser information on its website

List of top advisers at the firm comes after Social Security numbers were put at risk.

By Bruce Kelly
Treasury cuts penalties for taxpayers confused about withholding
REGULATION, LEGAL & COMPLIANCE MAR 22, 2019
Treasury cuts penalties for taxpayers confused about withholding

The government's second reduction in the penalty threshold this year comes as 2017 tax overhaul leaves many with surprise tax bills.

By Bloomberg
EQUITIES MAR 22, 2019
Big data: seeing investments in an entirely new way

Read more to find out how ESG data may help enhance long-term value and manage downside risk

By Gillian Albert
Finra budget to keep fees steady in 2019
REGULATION, LEGAL & COMPLIANCE MAR 21, 2019
Finra budget to keep fees steady in 2019

Critics worry the regulator might be sending mixed messages about any dependence on fines.

By Jeff Benjamin
Wells Fargo hits more bumps as it tries to move past scandals
WIREHOUSES MAR 21, 2019
Wells Fargo hits more bumps as it tries to move past scandals

Judge puts off approving a settlement related to bank's fake accounts, and Fed chairman Powell says Fed not ready to lift growth ban.

By Bloomberg
401(k) managed accounts becoming more diverse
RETIREMENT PLANNING MAR 21, 2019
401(k) managed accounts becoming more diverse

Empower's new product lets advisers select the underlying investments.

By Greg Iacurci
Cybersecurity concerns over messaging apps grow as more firms enable adviser texting
FINTECH MAR 21, 2019
Cybersecurity concerns over messaging apps grow as more firms enable adviser texting

IFP is the latest firm to let advisers text with clients. But are these apps secure?

By Ryan W. Neal
Securities America hit with lawsuit seeking $18 million in damages
REGULATION, LEGAL & COMPLIANCE MAR 21, 2019
Securities America hit with lawsuit seeking $18 million in damages

Firm is dealing with the fallout from a rogue broker it fired a year ago.

By Bruce Kelly
The U.S. retirement system is far too complex
RETIREMENT PLANNING MAR 21, 2019
The U.S. retirement system is far too complex

In some instances, there are as many as five regulators overseeing 401(k) plans.

By Blaine F. Aikin
Carolyn McClanahan talks aging, prostates and going out of business
RETIREMENT PLANNING MAR 20, 2019
Carolyn McClanahan talks aging, prostates and going out of business

Most advisers have a tough time discussing health issues with clients — and that imperils them.

By Greg Iacurci
Wells Fargo could be putting more of its focus on wealth management
PRACTICE MANAGEMENT MAR 20, 2019
Wells Fargo could be putting more of its focus on wealth management

Speculation is mounting that the bank is dumping some lines of business to focus on just a few areas, including financial advice.

By Bruce Kelly