DNA Holds the Key to What Financial Consumers Want
As with Americans' ignorance of many other matters, most “investors” don’t know a fiduciary from a Form ADV. And they don’t want to.
S&P Got a Little Casual With Its Mortgage Ratings
Here's a story the SEC tells about Standard & Poor's 2010 holiday party that ends in $67 million in fines for S&P.
NY Fed’s Dudley, CFAs: Industry Has a Big Trust Problem. Are Advisors the Solution?
To restore investors' trust, Wall Street’s leaders must lead by actions, not words, but advisors themselves are part of the solution.
4 Steps to Get a Client—and a Prospect—to Trust You
Exploring why a client or prospect may have difficulty trusting an advisor, and what you can do about it.
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.