SEC: Compliance Officers Need More Authority
By Melanie WaddellA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
5 Ways Advisors Can Help Worried Clients in 2021Behavioral bias was an issue long before the pandemic, and investors have new reasons for concern, Carson Group and other execs said.
November 19, 2020
T. Rowe Is Creating a Second Investment FirmT. Rowe Price Investment Management will initially assume management of six existing strategies.
November 19, 2020
SEC Enacts Long-Awaited E-Signature RulesThe amendments include requiring electronic filing and service of documents in administrative proceedings.
November 19, 2020
Schwab's Kathy Jones: Expect Higher Long-Term Bond Yields in 2021Here's what the chief fixed income strategist is recommending for investors.
November 19, 2020
Here's Why Financial Advisors Need to Amp Up Their Digital MarketingThe pandemic has shifted advisor searches from word of mouth to search engines.
November 19, 2020
U.S. Individual Annuity Sales FallFixed-rate deferred annuities sold well, according to an issuer survey.
November 19, 2020
Northern Trust Enhances Digital Advisor Platform: Tech RoundupAlso, IncomeConductor introduces a tiered pricing structure for its retirement income planning software.