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S&P to pay $2.5 million to settle SEC conflict-of-interest charges
The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
Merrill nabs $1 billion team from Citi
A team of four advisers in suburban New York is making the switch.
CFP Board seeks time limit on reinstating suspended mark
The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
Former chief compliance officer at RIA guilty of $500,000 fraud
According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.
GWG chiefs bolt in middle of bankruptcy
Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.
FTX collapse fails to derail investments into crypto funds
Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.
3 ways advisers can get the most out of hybrid work
Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.
SEC exams director reticent about how agency will probe marketing rule
But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.
Merrill Lynch to drop unpopular pay hurdle in 2023
Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.
FiComm, FMG partner to train advisers in digital marketing
The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.
How to give gifts that will delight clients
Consider skipping the classic fruit basket, and think of new, memorable ways to wow clients this holiday season.
SEC exams director warns advisers to strengthen cyber defenses
Richard Best tells an audience of compliance professionals that online attacks pose a threat to firms of all sizes.
No fee model is perfect: RIA Summit 2022
The goal is for independent registered investment advisers to explain to clients simply and transparently what they're paying for services provided.
Establishing expectations for clients is key
If advisers don't set expectations when they first meet with clients, clients will create their own, and odds are they'll be disappointed.
Anticipate changes to plans for LGBTQ+ clients
Complications for LGBTQ+ clients are only likely to proliferate with impending legal decisions.
Ameriprise, Dalton Education create military-oriented adviser certification
The aim is to help more military members and their families reach financial goals.
Avantax attracted 74 indie advisers in third quarter
The firm specializing in tax-related advice draws from advisers and accountants.
Big adviser teams say hello and goodbye at Wells Fargo
The latest moves illustrate the push-and-pull dynamics of recruiting and hiring advisers at Wells Fargo.
3 questions owners should consider before hiring a junior adviser
A successful job offer will not only win the candidate, but lay out a sustainable vision for the future.
Advisers prefer digital experience provided by largest asset managers: J.D. Power
Smaller fund companies are struggling to differentiate their offerings, the survey finds.
