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May 24, 2019

Here’s What Keeps Morgan Stanley’s Regulatory Exam Head Awake at Night
The list includes regulations, cybersecurity, employee activities and senior investor protection.
Morgan Stanley and Wells Fargo Lose Reps to These Rivals
Ameriprise and Raymond James’ independent channel both added FAs from the wirehouses.
Special Report: Indices are Evolving on Asia; Are You?
Index inclusion for Chinese A-shares opens opportunities for U.S. investors, and perhaps a can of worms for their advisors.
SEC to Vote on Regulation Best Interest June 5
The commission will consider whether to adopt rules on investment advisor and broker conduct and the proposed customer relationship summary form.
DOL to Roll Out Reincarnated Fiduciary Rule in December
The comment period for a new proposal is scheduled to open in July.
Vanguard Repositions Robo in Advisor Market
Advisors will soon be able to use investment modeling and other technology on Vanguard’s Personal Advisor Services platform.
Assets Managed by Robos Expected to Balloon to $1.26 Trillion by 2023
Robos managed just $257 billion by the end of 2018.
House Passes Comprehensive Retirement Savings Bill
Following the vote, the Senate has filed to consider the SECURE Act under an unanimous consent agreement, according to the Insured Retirement Institute.
Triad Advisors Recruits $275M RIA
Virginia-based Argent Bridge Advisors was previously affiliated with Spire Securities.

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