The Practice: Regulatory/legal issues
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July 26, 2018RIA’s Big Recruiting Move Could Become Client Acquisition HeadacheSnatching a private-client book from Fidelity isn’t easy, not even for major players.No Comments
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July 26, 2018SEC’s Fund Research Safe Harbor Doesn’t Go Far Enough, Industry ClaimsMorningstar says the proposal lets broker-dealers distribute biased research.No Comments
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July 26, 2018Watchdog Charges Investment Advisor with Lying About Disciplinary HistoryAdvisor allegedly wrote on his website he’d never had a complaint against him, despite having three complaints listed on BrokerCheck.No Comments
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July 26, 2018New SEC Nominee: Best-Interest Rule Should Be Shaped By Public CommentNominee says he would keep an “open mind” about the rule and believes in strong SEC enforcement.No Comments
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July 26, 2018Eight Broker-Dealers Fined Over Variable Annuity SalesFines target four broker-dealers each on the National Planning network and Advisor Group.No Comments
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July 25, 2018How to be Small and Efficient for HNW ClientsIt's a tough but critical balancing act.
Transcript Video [ 5:06 ] No Comments -
July 25, 2018Advisors are Blind to Special Needs, Lawsuits ClaimSight-impaired plaintiff has filed dozens of suits against all manner of firms.Last Comment: July 25, 2018
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July 25, 2018SEC Fines RIA and its CEO Over Delay in Returning Unearned FeesSome departing clients allegedly didn’t receive their money for several months after requesting termination.No Comments
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July 25, 2018Wells Fargo Loses $500 Million Team to Steward PartnersAnd RBC picks up another team from Merrill Lynch.Last Comment: July 26, 2018
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July 24, 2018UBS Censured Over Anti-Money Laundering WorriesThe Swiss bank failed to have adequate systems in place, but got away without paying a dime this time.No Comments
