The Practice: Marketing
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August 9, 2018A Tool for Deception: SEC Commissioner Warns of Best Interest Standard MisuseHester Peirce says the term "best interest" may also make investors complacent.
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August 9, 2018Democrats and Consumer Groups Slam SEC’s Best Interest ProposalIt could take months for the SEC to move forward on the regulation.No Comments
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August 7, 2018Deutsche Bank Wants U.S. Wealth Managers Who Can "Grow Big Books"The German company will consider private bankers with a history of building solid books of business across the U.S.No Comments
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August 7, 2018How Regional Banks Do Wealth ManagementIn Ohio, regional banks offer a complete set of financial planning services, although account minimums can be $1 million or more.No Comments
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August 6, 2018Ken Fisher Slams SEC Attempt to Tighten Broker RegulationThe SEC has received more than 2,500 comments on its Regulation Best Interest proposal.Last Comment: August 9, 2018
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August 6, 2018Critics Weigh in on N.Y.’s Best-Interest Standard for InsuranceThe rule would eventually drive up costs to consumers, critics say.No Comments
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August 6, 2018Warren Attacks SEC’s Regulation Best InterestMassachusetts senator says SEC needs to impose the fiduciary standard on all financial professionals.No Comments
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August 3, 2018How Many Millions AUM Do RIAs Need to Remain Competitive?It’s a trick question, according to one study.Last Comment: August 3, 2018
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August 2, 2018SEC’s Regulation Best Interest Could Cause Confusion, Lawyer SaysLawyer outlines three ways in which Regulation Best Interest governing broker-dealers isn’t like the best-interest standard for investment advisors.No Comments
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August 2, 2018Former Advisor Charged with Defrauding Elderly InvestorsThe nine-year scheme allegedly promised investors guaranteed returns.No Comments
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