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UBS will allow some US employees to work remotely full-time
The Swiss bank expects about 10% of its workers in the US to go remote as the program is implemented in phases, starting at the wealth unit.
SEC moves to mandate Scope 3 emissions reporting
Securities issuers would also have to report Scope 1 and 2 emissions, or those that are directly from their operations and the energy they use, on their registration statements and periodic reports.
Morgan Stanley is wirehouse hiring winner in 2021
It was the only wirehouse to show a net increase in financial advisers last year, according to InvestmentNews data.
Morgan Stanley sets 90-day limit on working from home
Firms have made plans to return employees and advisers to offices in the past but have scuttled those due to flare-ups of the pandemic.
How we explain the crypto roller coaster to our clients
We need to understand new technologies and combat the fear of missing out on the hottest investment category, which has been cryptocurrencies.
Geneos tagged with $400,000 penalty over alternatives sales
The fine and restitution to customers stem from sales of two alternative investments, the LJM Preservation & Growth Fund and private placements issued by GPB Capital Holdings.
Retirement planning is anything but normal in a post-pandemic world
One important aspect of retirement planning that hasn’t changed — and is likely never to change — is the need for advisers to be forthright with their clients, especially about matters relating to longevity and income adequacy.
See It Be It Role Model: Syed Nishat
Nishat and his partner specialize in serving immigrants and first-generation Americans; their firm works with physicians and entrepreneurs who moved to the New York area from all over the world.
See It Be It Role Model: Lawrence Smith
Smith, president of ELS Vision Wealth Management, focuses on helping those in the ‘first generation of success.’
Financial advisers starting to view economic outlook as a glass half empty
The results from the most recent InvestmentNews survey shows sentiment is turning south.
Two years later, financial services firms still searching for balance on remote work
Some of the biggest brands in wealth management are trying to figure out what normal looks like, and how and whether it makes sense to bring employees back to the office.
Fired Merrill broker who threw smoothie lands at Aegis Capital
James Iannazzo, 48, was arrested in January, faces three charges and is seeking probation.
Finra board approves remote-inspection proposals, sends them to SEC
Finra didn't provide details about the rules, which will be made public when they're submitted to the Securities and Exchange Commission.
Wells Fargo Advisors sees another senior manager leave
John Alexander is the second senior manager with two decades at the firm to leave Wells Fargo Advisors in recent months.
Ex-Wells, LPL broker arrested, charged with stealing more than $500,000 from clients
The broker, Mario E. Rivero Jr., 38, was registered with Wells Fargo Advisors from December 2010 through October 2020 and then at LPL Financial until last June, when he was barred from the securities industry.
Raymond James adds Wells duo managing $350 million
Houston-based advisers Brandon Glasscock and Mandy Haskell are joining the firm’s independent adviser channel.
Edward Jones to spend $1 billion on tech in 2022
The company is investing in its technology infrastructure — including digital initiatives and virtual tools — to improve the relationships between clients and their financial advisers.
Advisers must embrace fintech risks, opportunities to keep up with retailers
A new report from Celent shines light on the trend of traditional retailers like Walmart migrating into the wealth management space.
Raymond James nabs Edward Jones adviser managing $207 million in Texas
Lance Murphy, who's based in Houston, has 26 years of experience, much of it with asset management companies.
Wells Fargo boosts CEO Scharf’s pay 20% for 2021
Charlie Scharf earned $24.5 million last year, up from $20.3 million for 2020.
