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

Today's Headlines

Print This Issue

Text A A A

Select Issue By Date

Previous Issue

Blockchain: Get Ready for Radical Disruption

For FAs, the effects of frictionless data exchange will be no less profound for being indirect.

Merrill Lynch Faces Gender Discrimination Suit

Separately, firm fires top broker whose team included a relative of Merrill Lynch wealth chief Andy Sieg.

Finra Probe Reveals Need to Prioritize Exams

Other upcoming Finra 360 priorities include changes that will impact day-to-day interactions with member firms and the investing public.

Merrill Lynch: FAs Fall Short Advising Women

Financial advisors need to improve best practices to better service and win female clients.

UBS Sees Advisor Productivity Soar

The company’s average advisor had $1.33 million in annual revenue.

FA Guilty of Filching $5.2M Gets 12 Years in Jail

Daniel Glick must also pay $5.2 million in restitution.

Video

Wealth Management is Heading Where it Should've Been All Along

Client goals need to be front and center of any practice.

Video [ 4:32 ]

Transcript

ThinkTank: Latest Published Content

What to know about investing in China
Columbia Threadneedle Investments

Will the Tax Cuts and Jobs Act Take a Bite Out of Your Retirement?
WBI Investments

Equity Investing Across Cycles: Understand how to ensure your client's portfolios are positioned well, regardless of economic climate.
Cetera Financial Group

Kazakhstan: Rule of law where it once wasn't
Eaton Vance

On the Radar: April 23, 2018
City National Rochdale

What to do with the Punch Bowl?
FlexShares

Topics

All Topics

The Client - Finding and winning new clients Merrill Lynch: FAs Fall Short Advising Women Ron Carson Names 32-Year-Old His Successor Raymond James Nabs Four Wells Fargo FAs	The Client - Client retention Merrill Lynch: FAs Fall Short Advising Women Butowsky Sues Schwab for $100M Claiming Political Bias
The Client - ERISA plans/institutional management DOL Likely Won’t Fight for Fiduciary Rule, Former Exec Says Galvin Keeps Heat on Scottrade Fiduciary Rule Case	The Client - Behavioral finance Merrill Lynch: FAs Fall Short Advising Women Implement Boundaries and Structure with Volatile Clients Wealthy Clients Are Pessimistic About Longevity and Healthcare Costs

The Assets - Portfolio management Merrill Lynch: FAs Fall Short Advising Women Blockchain: Get Ready for Radical Disruption SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo	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 Blockchain: Get Ready for Radical Disruption Wealth Management is Heading Where it Should've Been All Along How Hires From Morgan Stanley Beef Up Advizr’s IBD and Fortune 500 Offerings	The Practice - Fees and compensation UBS Sees Advisor Productivity Soar Blockchain: Get Ready for Radical Disruption Merrill Lynch Loses $4.5 Billion Team to First Republic
The Practice - Staffing and recruiting FA Guilty of Filching $5.2M Gets 12 Years in Jail Blockchain: Get Ready for Radical Disruption UBS Sees Advisor Productivity Soar	The Practice - Regulatory/legal issues Blockchain: Get Ready for Radical Disruption Finra Probe Reveals Need to Prioritize Exams UBS Sees Advisor Productivity Soar

1	SEC Commish Blows Apart “Disappointing” Best Interest Rule
2	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
3	Merrill Lynch Loses $4.5 Billion Team to First Republic
4	Morgan Stanley Wins $6 Million Payment From Fired FA
5	Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000

1	Merrill Lynch, RBC FAs Reveal Their Game-Changing Client Moves
2	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo
3	Merrill Lynch Loses $4.5 Billion Team to First Republic
4	SEC Commish Blows Apart “Disappointing” Best Interest Rule
5	Sacked Morgan Stanley Advisor Ordered to Pay Back $372,000

1	SEC Commish Blows Apart “Disappointing” Best Interest Rule
2	Fired UBS Employee Looks to Mount Class Action for Age Discrimination
3	Advisors Neglect Retirement Income Planning, Study Reveals
4	Wells Fargo Loses Reps to Raymond James, BNY Mellon
5	SEC Unveils Best Interest Regulation But Critics Complain It Merely Maintains the Status Quo

S	M	T	W	T	F	S






Close

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

Already a Financial Advisor IQ Reader?

Today's Headlines

Topics

Most Popular