Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already registered?

Register for a free subscription to Financial Advisor IQ, a Financial Times service, written specifically for Financial Advisors. (All fields are required.)

There's no cost
Your information will not be shared without your consent
You get full access along with a daily news alert

Email*

Request access using a personal email account

First Name*

Last Name*

I am: *

A Financial Advisor
Not a Financial Advisor

Company Name*

Title

AUM

CE Credentials

You can now earn continuing education credits by reading selected content on FAIQ's ThinkTank. Enter your credentials below to start earning credits.

Accrediting Body

CFP^® Professional Number

CFP^® Certification Renewal Date (if known)

Password*

Password (retype)*

I agree to the Terms and Conditions and Privacy Policy*

Occasional emails from FA-IQ on behalf of trusted partners are acceptable.

Already a Financial Advisor IQ Reader?

Email
Password

Can't log in or forgot password?

Not yet registered for Financial Advisor IQ

February 13, 2018

Print This Issue

Text A A A

Select Issue By Date

Previous Issue

Merrill Lynch's Client Transition Program is Under a Harsh Spotlight in Court

Age discrimination suit sheds unfavorable light on the wirehouse's program.

Merrill Lynch Expands Portfolio Analysis Capabilities in Edge

New offering allows comparison to benchmarks, analyst insight and ESG impact.

Advisors Urged to Self-Report Fee Violations to SEC

Watchdog won't penalize FAs who declare mutual fund fee violations before June 12 and return ill-gotten gains.

LPL Fined Over Brokered CDs Sales

Firm allegedly failed to adequately train reps and disclose risks to clients.

Fidelity Reveals Big Jumps in U.S. Retirement Savings

Average retirement accounts across IRAs and 401(k)s surpass $100,000.

ThinkTank: Latest Published Content

How Short Duration Weathered Rising Rates
Lord Abbett

New Risk Metrics for a New World
Swan Global Investments

Is There Too Much Dry Powder In Private Equity?
iCapital Network

Topics

All Topics

The Client - Finding and winning new clients Raymond James Nabs Four Wells Fargo FAs Ron Carson Names 32-Year-Old His Successor Top Advisors Divulge Keys to Winning Trillions in Millennial Business	The Client - Client retention Implement Boundaries and Structure with Volatile Clients Raymond James Nabs Four Wells Fargo FAs Top Advisors Divulge Keys to Winning Trillions in Millennial Business
The Client - ERISA plans/institutional management Galvin Keeps Heat on Scottrade Fiduciary Rule Case Investor Advocates Are Cautious about SEC Fiduciary Rule	The Client - Behavioral finance Implement Boundaries and Structure with Volatile Clients Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs

The Assets - Portfolio management SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves	The Assets - Insurance planning SEC Plans to Limit Who Can Call Themselves a Financial Advisor Insurance Commissioners Are Crafting Their Own Best Interest Standard
The Assets - Estate planning Raymond James Rolls Out Tool for Gathering Client Asset Data Don't Be Afraid to Make Meetings Mandatory	The Assets - Tax planning Loss of Roth 'Mulligans' Seen as Planning Crimp

The Practice - Technology How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 Offerings Merrill Lynch and UBS Lose FAs to Raymond James	The Practice - Fees and compensation Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000 Top Advisors Divulge Keys to Winning Trillions in Millennial Business Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth
The Practice - Staffing and recruiting Top Advisors Divulge Keys to Winning Trillions in Millennial Business Wells Fargo Loses Reps to Raymond James, BNY Mellon Merrill Lynch Loses 124 FAs in 1Q But Confident About Future Growth	The Practice - Regulatory/legal issues This Upcoming SCOTUS Decision Could Hogtie the SEC Morgan Stanley Firing Shines Harsh Light on "Frat-Boy" Mentality Here Are the Big Fee Violations the SEC Has Found Advisors Make

S	M	T	W	T	F	S






Close