UBS's Dark Pool Was Shady
This was a big week for the SEC, including levying a $14.4 million fine against UBS Securities for doing bad stuff in its dark pool.
6 Smart Tips for Working With Millennial Financial Advisors
Millennials can help you grow and sustain your practice, so let them do what they do best.
Is a Single Advisor Dashboard Coming Your Way?
And is a single client portal in the offing as well? To get there, the Big Three advisor technology solutions must go beyond mere integration.
Why Did the CFP Board Hire Camarda Litigator as General Counsel?
The departure from the CFP Board of Michael Shaw and the hiring of Leo Rydzewski as the Board's first general counsel sends some dispiriting messages.
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, Differentiation
Post-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
An Investor-Friendly Way to Switch Broker-Dealers
Advisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
'Hide Not Slide' Orders Were Slippery and Hidden
What's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.
The Tax Extender Benefits for Your Clients
Here’s what you need to know about the tax extender provisions that Congress made retroactively relevant for 2014.
5 Metrics for Your 2015 Strategic Business Plan
If the focus of your firm's metrics only includes AUM and production, you're missing these other valuable measurements of success.
Need Professional Help? If You’re Looking for a Successor, Hire a Recruiter
When it comes to hiring a successor, using a professional recruiter is not really an option any more: You just need to do it.