How Your Client's Feelings Can Improve Your Leadership Style
Survival depends on our ability to trust one another, Simon Sinek said during the closing keynote at the eMoney Advisor Summit.
Ex-New York Governor, Music Producer Caught in SEC Action
Three executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
Harvard’s Endowment Loses Nearly $2B in Latest Fiscal Year
The most prestigious American university just reported its worst performance for its endowment since 2009.
Wells Fargo Indie Channel Picks Up 6 Reps From Rivals
The advisors move to the firm with over $500 million in client assets from UBS, Bank of America and other broker-dealers.
Client Focus, Organic Growth Crucial to Advisor Success: eMoney Summit
Fidelity’s Mike Durbin says that in the “fragmented” financial services industry, client-centric firms that can grow organically will be the winners.
We Will All Be Cyberattacked, Ex-FBI Cybercrime Agent Says
The odds of a person suffering a cyberattack are “pretty much 100% at this point,” said a former FBI agent at the eMoney Advisor Summit.
SEC Enforcement: Marijuana Container Company Busted in Stock Scheme
Also, Florida man charged with fraud for scheme to register and sell stock in blank check companies disguised as promising startups.
‘Hit Pause’ on DOL Fiduciary Rule, Insurer’s Lawyers Urge Federal Judge
Lawyers representing insurer Market Synergy told a Kansas judge that DOL failed to prove that state-based regulation of fixed-indexed annuities is broken.
4 SEC Exam Priorities Advisors Need to Know: Brian Hamburger
The MarketCounsel CEO highlights the exam priorities that the SEC “has shown by their actions, not by their words.”
DOL Fiduciary Rule’s Cost for 9 Investment Advice Players: From IBDs to RIAs
A.T. Kearney study sees big asset shifts across formats with IBDs getting walloped.