SEC Fiduciary Rule Unlikely in Dodd-Frank’s Third Year of Life
Advisors, including Harold Evensky, and industry officials are increasingly pessimistic that the year will bring a uniform fiduciary rule. However, the first designation of an asset management firm as systemically important could be coming soon.
BDCs, Maligned by Regulators, Find a Champion
Despite recent warnings, Michael Forman of Franklin Square makes a strong argument for including business development companies in a portfolio.
New Hire Roundup: Gamble Named Managing Director at F-Squared
This week in new hires, F-Squared Investments named Paul Gamble managing director, and Sean Curry and Kimberly Palleon moved up at BMO Global Asset Management.
New Hire Roundup: Carol Yochem Joins TD Wealth
This week in new hires, Carol Yochem joined TD Wealth, and Karen McNeill was appointed head of family history for U.S. Bank’s Ascent Private Capital Management.
Pershing’s Collaborative Culture and CEO DeCicco’s Priorities
In an interview during Insite 2013, CEO Ron DeCicco and COO Lisa Dolly discuss the custody and clearing firm’s priorities and human capital culture.
Tibergien: New Advisor Offerings Leverage BNY Mellon’s Heft
In an interview during Pershing's annual Insite conference, the CEO of Pershing's RIA custody unit talks of new offerings, Pershing's global reach and the advisor human capital challenge.
New Hire Roundup: Magner Moves Up at Mercer
This week in new hires, Mercer announced a new position for Liana Magner and NAPFA named three to its board of directors.
Tip of the Iceberg: Email Problem Is Bigger Than LPL
FINRA should lighten up on the accusations and fines, and work with firms to find better solutions to what seems to be a huge—and snowballing—problem.
Top 20 Companies for Annuity Sales: Q1
Variable annuity sales continue to struggle despite sustained equity market gains, says LIMRA annuity research director Joseph Montminy.
The 2013 IA 25 Slideshow: CEOs
As the leaders of major firms in the industry, these people could be fairly called the epicenter of influence.