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July 12, 2019

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How Firms Under Investigation Can Sometimes Avoid Harsher Sanctions

Letters of acceptance, waivers and consent will include a section called Credit for Extraordinary Cooperation.

Judge Grants Morgan Stanley’s TRO Request for Ex-Broker Who Went to UBS

The advisor is being pursued in connection with an agreement over a retired advisor's business.

These New Tax Break Funds For the Rich Are Having Trouble Finding Investors

The regulatory regime lacks clarity and it's scaring people off.

Kestra Adds $206 Million Practice

Merkel Financial offers wealth management and estate planning services with a focus on women.

House Lawmakers Tell SEC to Work with State Regulators

A bipartisan resolution also urges state regulators to work within the framework of the North American Securities Administrators Association.

Regulation Doesn't Trump Fiduciary Standard, Reg BI Author Insists

Dalia Blass, director of the SEC Division of Investment Management, says investment advisors must still mitigate or eliminate conflicts.

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

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