Should Advisors Be Paid Like Brokers?
If BDs want to recapture the flow of assets to the advisory side, they should consider restructuring their "eat what you kill" compensation methods.
The Municipal Advisor Law and Its Implications
Do you provide advice to government entities about financial products or the issuance of municipal securities?
The Small, Generalist Broker-Dealer: R.I.P.? Who Will Survive
Led by the strictures of Dodd-Frank, higher costs and tougher regulation are already putting smaller, undifferentiated BDs into trouble.
Investor Sentiment Improves in Q1, John Hancock Finds
The John Hancock Investor Sentiment Index increased to +23 in the first quarter from +22 in the fourth quarter last year.
Retirement Planning, Not Social Security or LTC, Dominates Advisors’ Client Discussions
Retirement planning is the No. 1 topic of discussion between advisors and their clients, according to an IRI study.
Global AUM to Top $100 Trillion by 2020
Global assets under management are expected to be about $102 trillion by 2020, with about half of those assets held in North America, according to PwC.
The Truth About Insurance Brokers Who Sell Annuities
Do insurance brokers objectively read annuity prospectuses and assess them in the same way fiduciary advisors do, or are they just selling a product?
From Niche to Client Opportunity: Secondary Market Annuities
Once the province only of institutions, factored structured settlements can now be bought by individuals to provide income.
GemShares Pushes to Securitize Diamonds, Build a Market
Diamonds are set to become a part of the global hard asset monetary system.
SEC Names Osnato to Head Complex Products Unit
The unit, formerly known as the Structured and New Products Unit, was created along with four other specialized enforcement units in 2010.