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July 5, 2018

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Do RIAs Come Out On Top in Fiduciary Rule/Best Interest Fight?

As the industry dukes it out, here’s what investors see …

Vanguard Eliminates Fees on Online Trading of Rivals’ ETFs

In August, Vanguard will let clients trade online nearly all of the 1,800 non-Vanguard ETFs for free.

Schwab to Pay $2.8M Over Suspicious Trades by Indie Advisors

Company failed to report suspicious activity by 37 independent advisors Schwab had terminated in 2012 and 2013.

Video

Why Your Succession Planning is Important to HNW Clients

They want to know that your practice will always be there.

Video [ 3:43 ]

Transcript

Fidelity Will Charge Consultants for Access to Advisors

New platform will charge consultants 18% of each contract awarded.

Morgan Stanley’s Top Lawyer is Quietly Building a Third U.S. Political Party

Eric Grossman’s Serve America Movement has attracted hundreds of thousands from Wall Street and former Big Tobacco executives.

Merrill Lynch Introduces Mobile Tech in Push for New Business

Wirehouse launches mobile technology to make life easier for clients and advisors alike.

ThinkTank: Latest Published Content

More than two billion reasons to consider investing in the emerging markets consumer
Columbia Threadneedle Investments

Discussing the Challenge of Health Care Costs in Retirement
Nationwide

Month in Cash: No more normal?
Federated Investors

Navigating the Emerging New Market Dynamic
Tematica Research

Canada’s ‘Rudest Awakening’ May Come From Debt‑Saddled Consumers
Pacific Investment Management Company LLC

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 Half a Billion Dollar Merrill Lynch Team Takes Flight Industry Groups Slam “Best Interest Standard” As Too Vague LPL Loses $1.3 Billion RIA to TD Ameritrade
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 LPL Loses $1.3 Billion RIA to TD Ameritrade Finra’s Cloud Tech Helps It Process 58 Billion Records Daily	The Practice - Fees and compensation Industry Groups Slam “Best Interest Standard” As Too Vague Half a Billion Dollar Merrill Lynch Team Takes Flight Ameriprise Loses $120M Team to Commonwealth
The Practice - Staffing and recruiting Half a Billion Dollar Merrill Lynch Team Takes Flight Ameriprise Loses $120M Team to Commonwealth CFA Will Examine FAs On Cryptocurrencies and Blockchain	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 Industry Groups Slam “Best Interest Standard” As Too Vague

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