Aligning With Your Message
When asked about their most valuable asset, advisory firm leaders typically laud their organization's people.
Is Using Big Data Price Optimization — Or Price Gouging?
Insurance provides a valuable bulwark in case of loss, but also allows clients to sleep at night. Peace of mind is worth a premium — but how much?
The Misplaced Faith in Optimizing Portfolios
Moving away from guaranteed income options is a mistake.
Are Treasury’s AML Rules for Advisors a Waste of Time?
IAA is looking at FinCEN’s proposed anti-money laundering rules to assess whether the expected benefits justify the compliance costs.
The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
5 Sectors Affected by Tianjin Explosions
The explosions, which killed more than 120 people, highlight questions about China’s safety record and regulatory capability.
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.
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.
Variable Annuity Study Finds No Fees for Most Partial Withdrawals, Cash-Outs
VA surrender charges that investors actually pay are considerably lower than the fees listed in prospectuses, the report found.
SEC, FINRA Enforcement: 2 Busted for Selling Fake ‘Charitable Gift’ Annuities
Meanwhile, the SEC busted a $114 million Ponzi scheme involving driver safety technology.