Recruiting Roundup: UBS Nabs 4 Ex-Merrill Reps in Florida
By Marlene Y. SatterMeanwhile, Raymond James adds a husband-and-wife team in Dallas to its employee channel.
August 25, 2015
FinCEN Floats Long-Awaited AML Rule for AdvisorsTreasury'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.
August 24, 2015
How (Not) to Name Your Advisory FirmAdvisors who want to name a firm after themselves should think twice, says Christopher Norton of marketing firm Blu Giant.
August 21, 2015
Arthur Levitt: SEC Deadlocked on Fiduciary, Advisors Need DOL RuleAs the Investment Advisers Act turns 75, ex-SEC Chairman Arthur Levitt, CFAs Barbara Roper and more discuss why the industry needs a strong fiduciary standard.
August 19, 2015
Recruiting Roundup: UBS Picks Up Morgan Stanley RepsMeanwhile, LPL, Ameriprise and Wells Fargo reveal their latest recruiting coups.
August 18, 2015
RIAs Are Least Dependent on Value-Add Support: SurveyThe fastest growing segment of the financial advisor market is also the segment least dependent on outside support from asset managers, insurance companies and BDs.
August 18, 2015
DOL Fiduciary Rule Will Cost Firms $3.9 Billion: FSI StudyProjected startup costs range from $1.1 million to $16.3 million per firm, according to a study by FSI and Oxford Economics.
August 13, 2015
DOL Fiduciary Proposal Must Be Broader: Bobby MonksBroken U.S. financial system filled with intermediaries whose fees leave investors poorer.