What do a spouse's efforts mean for the valuation of a business and its division in two?
Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.
The custodian is planning to sponsor a grassroots effort among registered investment advisers to compete with brokerages when lobbying for their profession.
The fiduciary motivation to avoid losses tends to be greater for advisers than the risk of not growing client wealth
Group set to launch lobbying days in Florida, Texas, New York and California.
Investment Adviser Association names its general counsel, Karen Barr, as its president and CEO.
The prospects of the passage of fiduciary rules to protect investors looked bright four years ago, but have waned considerably. Mark Schoeff Jr. looks at what's changed.
Most advisers are assessing electronic security, but approaches and frequency vary widely.
The hottest topics to keep tabs on in the independent broker-dealer space
From the advisory business model to crowdfunding to elder financial abuse, discussions taking place despite congressional gridlock
<i>From TD Ameritrade Institutional's national conference:</i> RIAs need to document the testing of their continuity plan if they want to stay out of hot water with regulators. Here's what you need to know. <i>(Don't miss: <a href="http://www.investmentnews.com/section/video?playerType=Events&eventID=TDAI2014&bctid=3126949758001&date=20140130" target="_blank">TD Ameritrade Institutional's Tom Nally talks about how advisers can reach NextGen clients</a>.)</i>
Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.
After decade of industry evolution, agency hopes to get up to speed.
Vast majority of advisers expect the U.S. economy — and their own businesses — to keep on humming.
New archiving solutions take the headaches out meeting SEC link capture regulations.
With women representing only 11.5% of advisers, trade group plans to highlight women in industry.
In today's <i>Breakfast with Benjmain</i>, looks might help money managers land more assets, but they also tend to underperform. Plus: Darryl Strawberry's contract balance goes to the highest bidder, Florida investment manager charged with bilking $17M from clients, and a hedge fund manager uses proper etiquette after losing his clients' money.
The small financial services empire of Daniel Thibeault, a well-known asset manager arrested earlier this month on charges of securities fraud, continues to unravel as the board of trustees of his fund moved to distance itself from him.
Plus the rest of Tuesday's <i>Breakfast with Benjamin</i>: Daniel Thibeault's missteps make the case for due diligence, U.S. economy magically defies gravity among global economies, and tax strategies that it isn't too late to employ
The FBI accused GL Capital Partners CEO Daniel Thibeault of creating fictitious loans to divert millions in assets to business accounts.
