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Morgan Stanley fined more than $10 million for violating customer protection rule
That rule is intended to safeguard clients' cash and securities so they can be promptly returned should the broker-dealer fail.
Building a Client-centric and Advisor-centric Platform
The wealth management industry is undergoing profound change: new regulations, a shifting competitive landscape, and a rapidly evolving…
Congress shouldn’t overlook these adviser issues in rush for change
From filling the SEC to renewing bills addressing accredited investor status and elder financial abuse, legislators shouldn't forget past priorities.
Is cyber insurance worth the cost?
Many advisers think E&O is enough, but these policies target the wayward web.
DOL encourages investors to ask advisers if they are fiduciaries
Agency provides a litany of questions for consumers as well as FAQs on technical compliance for advisers. (More: Want to see additional questions? Check out InvestmentNews' list)
Watch for this new cybersecurity scam, IRS warns
The phishing scheme involves cybercriminals posing as individuals looking for help with tax preparation.
American Funds gets SEC approval for clean shares
The Securities and Exchange Commission gave the green light Wednesday to the Capital Group to issue “clean shares”…
SEC announces 2017 exam priorities, adds robo-advisers to list
The addition reflects regulators' concerns about potential investor risk posed by automated-advice services.
Women advisers not attracting as many assets as male colleagues
Females in RIA channels especially coming up short
Is it time for financial advisers to change their messaging around retirement?
If the next generations don't want to retire, they may develop an opinion that advisers are not for them.
By the numbers: Financial advice industry’s outlook for 2017
The 2017 InvestmentNews Outlook Survey of 339 advisers reveals what's on advisers' minds as we enter the new year.
TruClarity targets midsize wirehouse breakaway reps to launch new RIA firms
From incubator relationship to back-office service provider.
Bank of America wants more referrals from its Merrill Lynch advisers
Brokers will be expected to provide two referrals a year to the bank or face a 1% penalty on their payout. (More: Morgan Stanley sales contests among advisers didn't help clients)
RIAs merging at a record clip, more breakaways become RIAs
Multiple forces are driving industry consolidation.
Robos jumping into socially responsible investing space
Several digital platforms are filling a void left by advisers by offering clients the opportunity to back their values with their investments.
RIAs embrace the collegial world of study groups
From Black Friday Focus Group to the Goddesses of Financial Planning, it's about sharing ideas.
Garrett Planning Network cuts deal on software that creates comprehensive financial plans
Members of hourly advice group to get discount on fintech aimed at holistic planning.
Blogs key to driving traffic to adviser websites, but what topics resonate best?
Answering specific client questions and not making a pitch result in the greatest engagement.
Outlook 2017: Advisers reveal their hopes and fears for the new year
With a new year, a new government and old regulations, advisers feel more optimistic about the economy than their own books of business.
Tips for working with female clients who are in financially unequal relationships
The importance of your healthy, open communication with the client and the same between her and her partner cannot be overstated.
