Data Privacy Drives Big Wedge in Advisor-Client Relationship
By Bernice NapachMorningstar CEO Kunal Kapoor highlighted some of these differences at the firm's annual conference.
May 08, 2019
FINRA's Cook: SEC Reg BI Compliance to Be a Heavy LiftImplementing Reg BI and potential FINRA rulebook changes are top of mind; NASAA president weighs in on state fiduciary rules.
May 08, 2019
BNY Mellon Pershing CEO Steps Down, Replacement NamedThe appointment is made after 30-year veteran of BNY Mellon Pershing Lisa Dolly decides to change career paths.
May 08, 2019
Advisors Who Serve(d) in the Military: 2019 SurveyPlease tell us about your military service so we can share your stories this Memorial Day weekend in our ongoing Advisors Who Serve(d) compilations.
May 08, 2019
Out-of-State Trusts Shouldn't Be Taxed: Bloink & Byrnes Go Thumb to ThumbThe Supreme Court will decide if taxing out-of-state trusts is overkill or a way to keep the wealthy from dodging taxes.
May 07, 2019
Raymond James CEO Opposes State Fiduciary StandardsPaul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
May 07, 2019
OCC Mulls Fiduciary Regulations Similar to State Trust LawsThe OCC is seeking comments on whether to update the definition of "fiduciary capacity." Also, NAIFA awaits a decision in its New York fiduciary case.
May 07, 2019
Who Is the Top Portfolio Manager? Morningstar to Name Choice at ConferenceThe winner will be announced from the five finalists on May 9 at the Morningstar Investment Conference in Chicago.