3 Trends Yield Great Prospects for Retirement Plan Advisors
Lawsuits, DOL fiduciary rule and a spate of bad news on active funds yield an unbelievable environment for new business. Here's how to take advantage.
Cybersecurity a Challenge for ‘Entire Planet’
Eric Schwartz of Cambridge and the other winners of the 2016 Broker-Dealers of the Year discuss the cybersecurity challenges their firms face.
Can Competing BDs Share Technology?
At the 2016 Broker-Dealer of the Year roundtable, the leaders’ discussion turned to a chicken-egg dilemma.
Technology Is Critical to BD ‘Information Business’
We asked the 2016 Broker-Dealers of the Year to imagine they had launched a digital advice platform but growth had been stagnant.
SEC Takes Aim at Performance That’s Just Too Good to Be True
SEC will require RIAs to document their performance numbers, and disclose more about their use of separate accounts, including derivatives.
A DOL Fiduciary Rule Compliance Checklist
Here’s a pithy, practical six-point checklist to help advisors of all stripes comply with the DOL rule.
LPL to Host Its First Stand-Alone Women’s Conference
The event, to be held in November, will cover themes like work-life balance and the post-election political landscape.
LPL 'Has Heard' Advisors on Need to Boost Service, Says President Arnold
The IBD outlines progress it has made and rollouts to come at annual conference.
How to Target Affluent Clients Online
Mass-market and mass-affluent investors are similarly inclined to use digital investment tools, but have different desires about how and when to interact with wealth managers online.
The Future of Robo-Advice
As broker-dealers and asset managers adopt robo technology, pure-play robo-advisors will morph into offerings that also offer a human touch.