Results for "Editorial"

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Financial crises require creative thinking, follow-through

May 18, 2019

When something is called a crisis, odds are good an easy solution is nowhere in sight. When a couple of crises bump up against each other, forget about it. Financial advisers, however, can't just throw up their hands when it comes to clients'...

Finra plan to address unpaid arbitration award problem deserves fair hearing

May 11, 2019

The Finanical Industry Regulatory Authority Inc. finally may have come up with a fair way to ensure that investors who win arbitration awards actually receive them. Under a new rule proposal, Finra would require firms with a track record of...

Finra tackles critical issue in assessing impact of innovation

May 4, 2019

The financial advice industry is evolving, and much of the recent change involves new technology. Advisory firms have adapted to advances ranging from account aggregation to robo-advisers; now they're starting to grapple with cutting-edge technologies...

Criticism of Richard Thaler proposal must not prevent discussion

April 27, 2019

The idea recently put forward by Nobel laureate Richard Thaler to allow Americans to contribute a portion of their 401(k) balances to the Social Security Administration in return for a higher income stream has been criticized from some in the...

Finra reminds brokerages of a client's right to a straight answer

April 20, 2019

A regulatory notice issued earlier this month by the Financial Industry Regulatory Authority Inc. told member firms that they must "communicate clearly, and without obfuscation," when the brokerage firms or its managers are asked questions by...

Help parents plan early, realistically around their kids' college costs

April 13, 2019

The price of college and the burden of student loan debt is frequently cited as a barrier to young people's efforts to buy a home, marry and start a family. What receives less attention is the impact that paying for college can have on parents,...

Want to keep good employees? Know what they value most from their firm

April 6, 2019

If you run an advisory firm and have had trouble holding on to employees and attracting new ones, consider what workers are looking for in a job these days. It's not just good pay and benefits, although those are important. And it's not just...

The need for a successor can sneak up on you, so plan ahead

March 30, 2019

InvestmentNews'​ new series on advisers' succession planning experiences has been well received by business owners struggling with the process — or even getting motivated to start the process. Last week's profile brought home the importance...

Don't write off ESG investments out of habit — the demand is real

March 23, 2019

Opportunities in the financial services industry rarely look as inviting as the current market for investments focused on environmental, social and corporate governance factors. At around $12 trillion, which is up 38% from two years ago, ESG...

Giving advisers ESG insight so they can grow

March 20, 2019

Whether it's due to reports of heat waves or polar vortexes, or the realization that businesses that are good stewards of the earth also tend to be responsible with investors' capital, the demand for socially conscious investment products has...

Regulatory amnesty opens advisers' eyes to past wrongs

March 16, 2019

The Securities and​ Exchange Commission and the Financial Industry Regulatory Authority Inc. are taking a new approach to enforcement — and the industry should pay attention. It just might save firms and advisers considerable sums of money,...

Advisers can — and must — help improve financial literacy in America

March 9, 2019

The United States is one of the richest countries in the world, yet many of its citizens are woefully ignorant about the nuts and bolts of such financial vehicles as loans and retirement savings plans. In fact, a Standard & Poor's survey ranked...

Help older clients facing a layoff realize their worth

March 2, 2019

Most advisers have had the experience of answering anxiety-ridden calls from clients saying they've been laid off, perhaps many during the early days of the Great Recession. What may surprise advisers is that more than half — 56% — of workers...

Now, not later: RIA custody confusion must be acknowledged by the SEC

February 23, 2019

Nothing gets the attention of registered investment advisers quite like the concept of custody status. For good reason, the Securities and Exchange Commission ramped up its focus on RIAs that have custody of client assets in response to the...

Be proactive addressing sexual harassment in the workplace

February 16, 2019

InvestmentNews' recent survey on #MeToo laid out the dimensions of the financial advisory industry's sexual harassment problem. Thirty-one percent of the 345 financial advisers who responded to the survey said they had personally experienced...

Politicians must come together to improve financial security

February 9, 2019

President Donald J. Trump spent a good portion of his State of the Union address last Tuesday reminding Americans of a particularly proud moment in our history: the Normandy landings on D-Day in World War II and the subsequent liberation of...

'Selling away' doesn't mean the B-D is not ultimately responsible

February 2, 2019

It looked like a routine arbitration award and in many ways it was. A small broker-dealer was found liable for the actions of one of its brokers for selling away. It was ordered to pay the client $276,226. The problem is that the broker, who...

Don't get hacked: You and your business can't afford it

January 26, 2019

If cybersecurity isn't a top priority at your firm, you might have been hacked already. Long gone are the days of just adopting formal cybersecurity policies and procedures and considering your business and your clients covered. Thanks to an...

Advisers should be worried about the shutdown — and yes, you should step in

January 19, 2019

Financial strain related to the partial government shutdown, now beginning its fifth week, may seem remote to many advisers and their clients. But if the standoff drags on, more Americans will become entangled in its spreading net. The monetary...

Better screening by Finra could curb expungements

January 12, 2019

No one wants a black mark on their record, especially if you're a broker trying to attract clients and those clients know how to use Finra's BrokerCheck system to research your background. That reality, especially over the past decade as the...

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