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Wawa settles ESOP lawsuit for $21.6 million

Wawa settles ESOP lawsuit for $21.6 million

July 10, 2020

The agreement is separate from a $25 million settlement reached in a similar suit brought in 2016

Q&A: iCapital Network’s CEO Lawrence Calcano

Q&A: iCapital Network’s CEO Lawrence Calcano

July 10, 2020

Calcano talks automation, the firm’s recent acquisition of Wells Fargo’s alternative investments platform and expectations for tech moving forward

Oklahoma pulls back Form CRS mandate for state-registered advisers

Oklahoma pulls back Form CRS mandate for state-registered advisers

July 10, 2020

Rhode Island keeps its requirement on the books

ETF providers struggle to steer institutional investors away from lower-cost retail funds

ETF providers struggle to steer institutional investors away from lower-cost retail funds

July 10, 2020

Large investors are giving up liquidity and tighter spreads for lower fees

Former RIA execs to pay $200,000 for misleading clients

Former RIA execs to pay $200,000 for misleading clients

July 10, 2020

Benjamin Alderson, the former CEO of deVere USA, also agrees to a permanent bar

Working past 62 improves retirement security: Study

Working past 62 improves retirement security: Study

July 10, 2020

People who aren't prepared for retirement at age 62 aren't more likely than others to keep working, but those who do tend to benefit financially, a recent paper found

Advisor Group unveils redesigned UMA platform

Advisor Group unveils redesigned UMA platform

July 10, 2020

The broker-dealer network added multiple enhancements to the 10-year-old platform from portfolio management tools to reduced account minimums

Fidelity drops robo-advice fees for small accounts

Fidelity drops robo-advice fees for small accounts

July 9, 2020

The Fidelity Go program will drop fees on accounts with less than $10,000 starting in August

House funding bill would halt SEC proposal to expand access to private markets

House funding bill would halt SEC proposal to expand access to private markets

July 9, 2020

Democratic legislators want the agency to collect data on the impact of promoting unregistered securities

Social distancing weighs on advice business: Survey

Social distancing weighs on advice business: Survey

July 9, 2020

Prospecting is now more difficult, and advisers said they are less effective at selling products, a report from Limra and others shows

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