Displaying 8981 results
SEC bars RIA chief compliance officer previously found guilty of fraud
Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.
Charging clients fees based on planning rather than AUM works ‘beautifully’ for advisor
Although AUM fees still dominate, other models — such as planning, subscription, monthly and hourly fees — are gaining traction, according to IN's goRIA panelists.
Execs call for mandatory reporting of employee well-being metrics
Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.
How retirees and pre-retirees can benefit from high interest-rate environment
Clients can explore savings strategies and financial products with higher risk-free returns and alternative fixed-income investments.
Forget Advisor Group. It’s now Osaic
While the giant network of 11,000 brokers and advisors has announced its new name, the process of rolling its eight firms into one will take up to two years.
AI: It’s more personal than you think
Artificial intelligence stands to positively impact advisory firms' relationships with their clients by fostering more personalized experiences.
What advisors need to know about estate planning for LGBTQ couples, individuals
In the absence of proper estate planning, there's a risk that LGBTQ individuals' intentions may not be respected.
Finra warns brokerages to pay attention to rising cybersecurity threats
The broker-dealer self-regulator highlighted a recent government advisory about a ransomware attack and told member firms to brush up on Finra's guidance on the topic from last December.
Finra suspends financial advisor facing child sex charge
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
More than just a number
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
Twitter struggles to match engagement found on other networks, study finds
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
Finra bars advisor who focused on special needs
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Cetera CEO Antoniades: ‘I’m not going anywhere’
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Merit Financial adds LPL veteran Andy Kalbaugh to its board
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
How to get started with automation
There's a fair amount of legwork that needs to happen to get firms to the point where automation is possible.
Finra spanks Schwab with $350,000 fine over disclosures on ETNs
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
Wells Fargo adds sports and entertainment program
The firm cited the sports and entertainment accredited wealth management advisor designation rolled out in 2022 by the College for Financial Planning as a factor that will help advisors meet such clients' needs.
With Credit Suisse deal done, UBS sets team to lead wealth management
Veteran UBS wealth management executive Tom Naratil is not part of the new team, however.
Personal pronouns: Tiny words that echo loudly
Identity pronouns resonate far beyond the forms they're written in, signaling inclusion and respect.
SEC warns advisors about disclosures for testimonials in exam alert
The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.
