Court Ruling Makes It Easier to Convict Advisors of Fraud
By Mark Hamblett, Law.comMaking a criminal case for investment advisor fraud does not require proof of intent to harm clients under the '40 Act, an Appeals Court rules.
May 02, 2016
Top Portfolio Products: Touchstone Launches an International Growth FundTwo may be better than one. Check out these partnerships that created new platforms for compliant marketing and wealth management.
May 02, 2016
9 Advocates and Educators Shaping the Industry: The 2016 IA 25 SlideshowThe most influential people in our lives are the advocates and educators who speak on our behalf.
April 29, 2016
The DOL Fiduciary Rule Is Here. What Should Advisors Do Next?An Envestnet webinar for advisors laid out several steps advisors can take to comply with the new rule.
April 29, 2016
LPL Feeling Acquisitive in New Fiduciary Era; Q1 Sales Fall 9%The new DOL rule should squeeze cost structures for smaller competitors and lead to more opportunity for M&A, CEO Mark Casady says.
April 28, 2016
Clara Shih: Democratizing Financial Advice— The 2016 IA 25A pioneer in the social media industry, Clara Shih developed the first social business application on Facebook as a side project in 2007.
April 28, 2016
White House Offers More Ways for Student Loan Borrowers to Avoid DefaultNew initiatives from the Education Department and CFPB help borrowers identify the best repayment options.
April 27, 2016
Young, Productive Advisors Are on the Move: FidelityAdvisors who switch firms are increasingly likely to be young and female and have more assets under management, Fidelity found.