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DOL fiduciary rule could cause half of potential IRA rollover assets to stay put: Report
Because of the DOL fiduciary rule, Cerulli expects more money will remain in employer-sponsored retirement plans.
Industry, adviser groups raise concerns about SEC’s business continuity proposal
They caution that making advisers liable for fraud if they lack such a plan is the wrong way to achieve investor protection goals.
Raymond James, Baird to pay $850,000 for SEC wrap-fee violations
Some of the firms' clients weren't aware of costs paid beyond the wrap-fee programs
RCAP to close wholesaling REIT division after charges of fraud, declining sales
Company founded by one-time real estate mogul Nicholas Schorsch announces $3 million settlement with Massachusetts Securities Division and said it will lay off nearly 150 employees.
Appeals court judge questions Camardas’ claim in fee-only case against CFP Board
Lawyer representing the two Florida planners was grilled at a hearing on Wednesday over his argument of selective enforcement.
FPA seeks more influence over CFP Board, regulators by creating advisory council
New six-member panel will take input from members regarding concerns about groups that formulate policies affecting planners.
Advisers have a fiduciary duty to put robust business continuity plans in place
As fiduciaries, advisers have twin duties of loyalty and care to their clients.
Use the DOL fiduciary rule as a catalyst to transform your business
To move from DOL compliance to transformation, you will need to focus on several key issues to drive the speed and effectiveness of these changes within your business.
What advisers need to consider before starting a separate business venture
There are some ethical considerations that deserve some thought before launching a non-financial planning business.
Morningstar slams some liquid alternative funds for masking actual expense ratios
The funds take advantage of the SEC's reporting rules on derivatives to make their high fees look smaller than they actually are.
How frivolous customer disputes can be erased from Finra BrokerCheck
Customer complaint disclosures that are erroneous or without merit are all too common.
CFP Board poised to make advisers’ arbitration results public
Tweaks to new rule mean details of disputes may surface.
Why financial advisers hate Elizabeth Warren
The senator has emerged as an ardent champion of the DOL fiduciary rule and has used congressional hearings to take on Wall Street and industry regulators alike.
Do retainers beat AUM-based fees under fiduciary rule?
New paper makes the case for advisers to charge clients flat fees versus fees based on assets given the approaching DOL regulation. (More: A comprehensive, searchable database of advisers' fiduciary FAQs)
SEC steps up scrutiny of adviser use of social media
New rule to include site information on Form ADV part of evolving regulations on the web tool.
Insurance that advisers will need to cover new fiduciary duties
Fiduciaries have certain responsibilities that trigger liability separate from contract and ordinary tort liability.
Attorney Jerry Schlichter opens up about 403(b), 401(k) suits
After recent filings of a dozen lawsuits against university retirement plans, InvestmentNews spoke with the high-profile attorney about the broader world of ERISA fee litigation.
Salesforce adds compliance features to financial services CRM for DOL fiduciary rule
More software providers will add or enhance their tools to assist advisers in meeting the regulation's requirements.
Moody’s upbeat on mutual-fund companies for the third quarter
Outflows at Franklin and Waddell & Reed mask overall healthy inflows.
SEC fines advisory firms $2.2 million for spreading false claims made by F-Squared
Thirteen advisory firms repeated unsubstantiated claims about investment performance.
