Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud Rules
By Melanie WaddellSEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients accounts" must include "limits on that authority."
December 31, 2015
Top 15 Most Expensive States for Long-Term Care: 2015Paying for health care is a top boomer retirement worry and in these states, its easy to see why.
December 31, 2015
15 Cheapest States for Long-Term Care Costs: 2015The old saw about what goes up must come down obviously wasnt coined by someone thinking about the costs of long-term care.
December 31, 2015
10 Investing New Year’s ResolutionsAlong with the familiar examples of collective optimism at the end of every year, the financial industry likes to offer its own New Years resolutions.
December 31, 2015
Trustees at $2 Billion 401(k) Charged With Self-Dealing, Excessive FeesA court case alleges trustees to Insperity 401(k) plan allowed excessively high recordkeeping costs, amounting to self-dealing by plan fiduciaries.
December 30, 2015
How Advisors Can Best Serve ‘Modern’ FamiliesAs family structures in the U.S. have changed significantly, so have the financial concerns of new family configurations, Allianz reports.
December 30, 2015
Calls to FINRA Senior Helpline Uncover Emerging ScamsThe helpline has aided FINRA in identifying new scams, including tax fraud, bogus lottery winnings and binary options.
December 30, 2015
Recent SEC Exams of RIAs Focusing on Client Retirement AccountsFollowing up on its promise to do so, the SEC's examiners are looking closely at RIAs' oversight of clients' 401(k) and IRA accounts.