Advisers become a part of their listeners' lives when they launch a podcast.
The SEC chair deftly handled four hours of questioning from lawmakers, including a query about Reg BI. He showed he’s a deft politician who will be able to guide policy in a direction he favors.
As new generations of investors enter the scene, demand for advisory services will rise, as will expectations about what advisers can deliver. Understanding these shifts will be key to adviser growth in the decade ahead.
The complex nature of the wealth management sector calls for a different approach to artificial intelligence. Take advantage of the rules and regulations that complicate the industry’s operations.
While plaintiffs continue to develop many theories and new claims, one type of claim that has appeared with increasing frequency in 401(k) litigation 2.0 is an allegation that deciding to offer additional services to plans and their participants creates conflicts.
As firms strive to build enterprise value, create ways for future partners to buy in and design a lasting business model, it may be time to consider adopting an equity-based ownership structure.
Employing insights from behavioral finance when putting together the trusted contact form can increase the likelihood a client names a trusted contact, according to a recent report from the Ontario Securities Commission.
Lawsuits have popped up alleging wide-reaching conspiracies and gamification strategies at some of the most well-known firms. Online brokerages are increasingly responsible for rebuilding public trust.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
A system built around inaction shouldn’t expect people to become more involved with it, much less bear responsibility for keeping their accounts safe.
A widow couldn't decide whether to move to a condo or to a retirement community, as her children were urging. She was just stuck.
Clients want steady assurance from a seasoned adviser, but they want it integrated with the most vital tool they use to manage their lives — their phones.
The more complicated you make your advisory firm, the less valuable it is. Complexity can also reduce the odds of arriving at a fruitful succession plan.
It's not easy to keep up with the credits you need under normal circumstances, and the pandemic has made it even harder.
Some of the biggest names in financial services are building the wealthtech equivalents of Uber right now, and they’re using APIs to do it.
Advisers nearly universally agree that a return to office meetings is key, and that they must change
The world's largest retailer announced plans to launch a digital advice platform for its 220 million weekly clients. It will likely target lower-income Americans with simple but necessary financial products.
Clients who feel they’re being ignored or getting second-class treatment will get fed up and leave, especially if investment performance hasn’t been great or the firm has dropped the ball somewhere else.
The pandemic has reminded us that too many Americans are being left behind economically, and the stats for financial education demonstrate that is happening in the classroom too.
Now is a good time to tell clients to double-check all their loan documents and credit card statements to see if they have any Libor-linked debt.
