Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
Jailed Advisor Barred for Interstate Email Scam
By Melanie WaddellAn advisor led clients to believe he had purchased various investments for them by sending them fraudulent Morningstar client summaries.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
Morningstar Pushes Change in DOL Fiduciary Rule EnforcementThe fund rating agency suggests a third-party audit of firms big data to check if individual portfolios are providing a best interest standard of advice.
April 13, 2017
Serving Affluent Investors With Robo, UMA Models: CelentTax management is a key area where UMAs and robo-advisors overlap.
April 11, 2017
Will Edward Jones’ New Ads Lure Experienced Advisors?The firm wants to recruit more veteran advisors, but one recruiter says the idea that the print ad campaign will succeed is "laughable."
April 11, 2017
These 4 Emojis Are a No-No on Wall StreetInvestment and social media compliance firms warn about the pitfalls of using emojis in client communications.
April 10, 2017
Why a Diluted Fiduciary Rule Is Bad for Advisors: Betterment, CFP BoardBetterment, CFP Board and Consumer Federation say that a watered-down rule could hurt not just investors but advisors, and they discuss what could happen next.
April 10, 2017
Morningstar’s March Winners and LosersFunds with Medalist ratings account for about 9% of funds sold in the U.S. and some 60% of assets under management.