AI-Powered Prospecting Tool Launches New Research Function
The prospecting platform PSMP now gives retirement plan advisors more data and helps them fine-tune their prospecting efforts.
Nearly 60% of Business Owners Lack a Transition Plan: Wilmington Trust
Business owners are “too busy” to start planning, according to this survey of 200 owners of privately held companies.
In Asia, Fintech Not a Challenger to Banks: LexisNexis
The Asia-Pacific region has made itself a fintech leader, but established banks there are unlikely to be replaced anytime soon, according to LexisNexis Risk Solutions.
SEC Continues Crackdown on Mutual Fund Share Classes
SEC is acting against two firms over their use of more expensive Class A shares and 12b-1 fees.
Raymond James Nearly Back to ‘Normal’ After Irma
The Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
SEC Highlights Top Advisor Ad Violations
OCIE risk alert details advisors' failures to comply with Rule 206(4)-1, also known as the Advertising Rule.
FPA Honors 4 Financial Planners for Giving Back to the Profession and Public
The winners of FPA's 2017 Heart of Financial Planning Award demonstrate a strong commitment to building the financial planning profession.
Bills Would Tighten Credit Check Rules, Make Credit Freezes Free
Credit histories “are riddled with errors and the recent Equifax breach makes that much more likely,” Sen. Elizabeth Warren said.
How Stephen Hlibok Became Merrill’s First Deaf Advisor
Stephen Hlibok tells ThinkAdvisor about his deaf clients' biggest challenges, how he overcame rejection at Merrill and some cool tech innovations for deaf people.
Focus Financial Adds $1.5B RIA in North Carolina: Recruiting Roundup
Kestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.