SEC Names Norberg Whistleblower Office Chief
Jane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
UBS Settles With SEC Over Sales of ‘Complex Products’
SEC says the wirehouse must repay 8,700 investors over $8 million and pay a fine for not reasonably training its advisors.
Does Client Philanthropy Pose a Conflict for AUM Advisors?
If your client reduces his assets under management through charitable giving or other means, does that make the flat-fee approach better for advisors?
Advisors, It Pays to Thank Clients — Consistently: Janus Labs
Those who express gratitude regularly and systematically have significantly higher AUM than those who do not, Janus finds.
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.
Recruiting Roundup: Raymond James Nabs Two Morgan Stanley Teams
Two hybrid RIAs announce merger plans, as US Trust, Merrill, Ameriprise and other firms share their latest recruiting news.
History Provides Hope for Institute for the Fiduciary Standard’s New Best Practices
While reforming large financial services institutions may be tough, the Institute believes reforming the industry from the ground up is more doable.
CFP Board’s Online Forum for Test Takers Gains Big Following
The CFP Board has created an online forum to give candidates pursuing their CFP marks a chance to interact with other test takers.
15 Best Paying Jobs for College Business Majors: 2016
ThinkAdvisor used PayScale’s College Salary Report, which collected data from 1.4 million graduates, to find the top jobs.
Top Portfolio Products: Global X, Nuveen Add ETFs; Financial Engines Expands Services
Global X introduces three tech ETFs while Nuveen adds bond ETF focused on additional yield.