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November 28, 2017

UBS Trails Morgan Stanley Out the Door on Broker Protocol
UBS explains its decision as an advisor retention strategy.
Does the Preoccupation with AUM Harm Client Service?
FAs sound off about the wealth industry’s “mine is bigger” obsession with assets.
DOL Fiduciary Rule Delay is Now Official
Delay pushes back applicability of the rule’s best interest contract exemption.
Firms Must Plan Well to Pass Surprise SEC Exams
Many RIAs believe they’d fail an SEC exam, while the regulator plans to expand them by 20%.
The Differences Between Robos are Breathtaking
Analysis of 20 consumer-oriented robos finds large differences in performance.