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Success of SEC advice reform will depend on industry actions
Codifying the idea of putting a client's best interest first into regulation is important.
Protecting client data is an ongoing obligation
Firms must perform due diligence on prospective providers.
Factor investing another step in the evolution of the adviser’s role
As advisers step farther away from stock-picking, their work guiding clients on the bigger financial picture becomes more important and their value potentially greater.
Financial crises require creative thinking, follow-through
Because after all, advisers are the most informed constituents to weigh in.
Finra plan to address unpaid arbitration award problem deserves fair hearing
The issue has been a problem for Finra — and investors — for a long time.
Finra tackles critical issue in assessing impact of innovation
These assessments and guidance can smooth the way for its member firms to make better-informed decisions about technology.
Criticism of Richard Thaler proposal must not prevent discussion
Having leading retirement thinkers instigate policy discussions on boosting retirement income could be our best hope to spark positive change.
Finra reminds brokerages of a client’s right to a straight answer
It's all about transparency: New guidance could help brokers on the move retain loyal clients.
Help parents plan early, realistically around their kids’ college costs
Advisers may not be college planning experts, but they should be helping clients and their children think things through.
Want to keep good employees? Know what they value most from their firm
Good pay and benefits matter, but so do management follow-through, regular communication and adequate training.
The need for a successor can sneak up on you, so plan ahead
After a lifetime of work, be sure to go out on a high note.
Don’t write off ESG investments out of habit — the demand is real
There is appetite from 401(k) participants, and options to feed them.
Giving advisers ESG insight so they can grow
InvestmentNews committed to sharing impact investing knowledge through stories, videos and events
Regulatory amnesty opens advisers’ eyes to past wrongs
SEC, Finra shining spotlight on problems that can no longer be overlooked.
Advisers can — and must — help improve financial literacy in America
The lack of education is a problem, and there's a lot you can do to fix that.
Help older clients facing a layoff realize their worth
A client's morale will start to drop as quickly as their net worth.
Now, not later: RIA custody confusion must be acknowledged by the SEC
Recent guidance still leaves many advisers scratching their heads
Be proactive addressing sexual harassment in the workplace
Advisory firms should have a clear protocol for reporting offenses, assaults.
Politicians must come together to improve financial security
A lack of effort to find common ground is holding us back, which is why we must hold the president and lawmakers to their promises to change.
'Selling away’ doesn’t mean the B-D is not ultimately responsible
Quest Capital was held responsible for non-client losses.
