July 11, 2019

Print This Issue

Text A A A

Previous Issue

The offering requires just a $2,500 minimum and charges a 0.35% annual fee.

Having a well-documented compliance process adds to an advisory firm’s credibility, says one advisor.

The investor awarded the money had originally included Cadaret, Grant in her claim but dropped the firm earlier this year.

The acquisition boosts EP Wealth’s assets under management by $230 million.

The two agencies don’t have any formal collaboration on IRA investments in nontraditional assets such as real estate or virtual currency, GAO says.

New study also finds Edward Jones ranks highest in satisfaction among employee advisors while Commonwealth ranks highest among independents.

The board’s new Code of Ethics and Standards of Conduct goes into effect in October.

Topics

All Topics

The Client - Finding and winning new clients UBS Veteran Bolts for Independence After 20 Years at the Wirehouse LPL Scoops Up a Half-Billion Dollar Advice Shop for its Advisory Platforms	The Client - Client retention UBS Veteran Bolts for Independence After 20 Years at the Wirehouse LPL Scoops Up a Half-Billion Dollar Advice Shop for its Advisory Platforms
The Client - ERISA plans/institutional management Why Big Firms Have Paid Billions in ERISA Class Actions Maryland, Nevada Push for State-Level Fiduciary Rules	The Client - Behavioral finance Financial Advisors Are Guilty of Biases Too, Survey Finds Shockingly Few Americans are Very Confident About Retirement Savings, Survey Says

The Assets - Portfolio management Shockingly Few Americans are Very Confident About Retirement Savings, Survey Says Financial Advisors Are Guilty of Biases Too, Survey Finds	The Assets - Insurance planning Ohio National Files Objections to Ruling in Trail Commission Lawsuits As Social Security Shortfalls Grow, Could Annuities Become More Common in 401(k)s?
The Assets - Estate planning Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms Senators Urge Finra to Bar FAs from Receiving Client Inheritance	The Assets - Tax planning SEC's Opportunity Zone Warning is "Prudent Reminder," Ex-Enforcement Lawyer Says Impact Investors Push for Increased Opportunity Zone Reporting Requirements

The Practice - Technology Morgan Stanley Helps Advisors Share Encrypted Documents With New Service This is What Hundreds of RIA Compliance Officers are Worried About	The Practice - Fees and compensation How High-Risk Reps Are Now Under a Much Harsher Spotlight UBS Veteran Bolts for Independence After 20 Years at the Wirehouse
The Practice - Staffing and recruiting How High-Risk Reps Are Now Under a Much Harsher Spotlight UBS Veteran Bolts for Independence After 20 Years at the Wirehouse	The Practice - Regulatory/legal issues How High-Risk Reps Are Now Under a Much Harsher Spotlight Merrill Lynch Wealth Management Boss Explains How Barriers are Being Broken at the Wirehouse

1	Ex-Morgan Stanley FA Suspended Over Meal Expenses
2	Big Morgan Stanley Punishment Leaves Lawyers Wondering What's Next
3	Merrill Lynch Hit with $40 Million Settlement and Faces Further $42 Million From Similar Claim
4	Morgan Stanley Ordered to Pay $3.3 Million After Apparently Concealing Evidence
5	56 Broker-Dealers Settle for $89 Million in Restitution for Harmed Account Holders

1	Ex-Morgan Stanley FA Suspended Over Meal Expenses
2	Morgan Stanley Ordered to Pay $3.3 Million After Apparently Concealing Evidence
3	This Will Drive Broker-Dealers Out of New Jersey, Retirement Group Warns
4	This is What Hundreds of RIA Compliance Officers are Worried About
5	Trump Names DOL Rule Killer and Justice Scalia's Son as New Labor Department Boss

1	Ex-Morgan Stanley FA Suspended Over Meal Expenses
2	Here's Raymond James' Approach to the Subscription Advice Model
3	This is What Hundreds of RIA Compliance Officers are Worried About
4	New RIA Clients Accounted for Far More AUM Growth Than Existing Clients in 2018
5	Wells Fargo's Advisor Roster and Client Assets Shrink