A New Online Platform to Limit Investment Losses
Vest Financial Group now offers investors and advisors a way to hedge downside risks of individual stocks and ETFs via an online platform.
FinCEN Floats Long-Awaited AML Rule for Advisors
Treasury's enforcement unit proposed Tuesday a rule requiring certain advisors to establish anti-money laundering programs and report suspicious activity under the Bank Secrecy Act.
How (Not) to Name Your Advisory Firm
Advisors who want to name a firm after themselves should think twice, says Christopher Norton of marketing firm Blu Giant.
Arthur Levitt: SEC Deadlocked on Fiduciary, Advisors Need DOL Rule
As the Investment Advisers Act turns 75, ex-SEC Chairman Arthur Levitt, CFA’s Barbara Roper and more discuss why the industry needs a strong fiduciary standard.
Recruiting Roundup: UBS Picks Up Morgan Stanley Reps
Meanwhile, LPL, Ameriprise and Wells Fargo reveal their latest recruiting coups.
RIAs Are Least Dependent on Value-Add Support: Survey
The fastest growing segment of the financial advisor market is also the segment least dependent on outside support from asset managers, insurance companies and BDs.
DOL Fiduciary Rule Will Cost Firms $3.9 Billion: FSI Study
Projected startup costs range from $1.1 million to $16.3 million per firm, according to a study by FSI and Oxford Economics.
DOL Fiduciary Proposal Must Be Broader: Bobby Monks
“Broken” U.S. financial system filled with intermediaries whose fees leave investors poorer.
Robo-Advisors Will Need Humans — Yes, Humans — to Grow Business: Cerulli
New research from Cerulli shows that consumers are not using technology to replace professionals outright.
SEC Must Target Form ADV Changes to Reduce Advisor Costs: IAA
IAA tells SEC to focus a 'particularly keen eye' on disproportionate costs to small advisors under its request for more SMA data on Form ADV.