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August 24, 2017

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Previous Issue

Morgan Stanley Slapped with $500K Fine

Wirehouse allegedly mishandled client trades in preferred securities.

DOL Foe Demands Injunction Against Arbitration Ban

Firm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.

The Fatal Flaw in Many Client Communication Strategies

Provide more relevant messages, more personal touches — and quit it with the golf talk.

FAs Want More Info on CFP Board Fiduciary Proposal

Fiduciary proponents want more clarity, opponents remain mum.

Opinion

Clients Need a True Picture of Risk in a Bull Market

FAs need to manage investor expectations and earn trust in a bull market.

ThinkTank: Investing

Benefits of Investing in REITs
Manning-Napier

Intense Bargain or Value Trap?
Smead Capital Management

Secondary Funds: Removing Obstacles to Private Equity Adoption
Artivest

Topics

All Topics

The Client - Finding and winning new clients Half a Billion Dollar Merrill Lynch Team Takes Flight Merrill Lynch Has Won a Lot of New Clients Lately	The Client - Client retention Industry Groups Slam “Best Interest Standard” As Too Vague Half a Billion Dollar Merrill Lynch Team Takes Flight
The Client - ERISA plans/institutional management Fiduciary Legislature at the State Level Slows But Continues Judge Opens Way for the DOL Fiduciary Rule's Survival	The Client - Behavioral finance Industry Groups Slam “Best Interest Standard” As Too Vague It’s All in the Mind

The Assets - Portfolio management SEC Reveals Big Problems FAs Have With Best Execution It’s All in the Mind	The Assets - Insurance planning Soothing Clients’ Terror About Health Costs in Retirement
The Assets - Estate planning FAs Aren’t Talking to Clients About What Clients Want to Discuss FAs Expect More Controversies Like Marvel Icon Stan Lee’s Senior Abuse Woes	The Assets - Tax planning All Special Designations Aren't Created Equal: How to Tell the Significant from the Suspect FAs Aren’t Talking to Clients About What Clients Want to Discuss

The Practice - Technology Finra’s Cloud Tech Helps It Process 58 Billion Records Daily LPL Loses $1.3 Billion RIA to TD Ameritrade	The Practice - Fees and compensation Industry Groups Slam “Best Interest Standard” As Too Vague Ameriprise Loses $120M Team to Commonwealth Half a Billion Dollar Merrill Lynch Team Takes Flight
The Practice - Staffing and recruiting Half a Billion Dollar Merrill Lynch Team Takes Flight Ameriprise Loses $120M Team to Commonwealth	The Practice - Regulatory/legal issues Should RIAs Be Subjected to Broker-Like Licenses With Continuing Education Requirements? CFA Will Examine FAs On Cryptocurrencies and Blockchain

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