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Breaking away was the hardest thing we've ever done. And we’d do it again
OPINION FEB 15, 2022
Breaking away was the hardest thing we've ever done. And we’d do it again

You have one chance to show clients why you started your own firm, and most importantly, how they will be better off.

Hackers snagged $36 million in cryptocurrency in breach of IRA Financial
ALTERNATIVES FEB 15, 2022
Hackers snagged $36 million in cryptocurrency in breach of IRA Financial

Company has launched investigation and contacted law enforcement because Bitcoin and Ethereum were snatched from IRA users on Feb. 8.

Finra arbitrators rule in Credit Suisse’s favor in deferred comp case
PRACTICE MANAGEMENT FEB 14, 2022
Finra arbitrators rule in Credit Suisse’s favor in deferred comp case

The win follows several losses for Credit Suisse on similar actions brought by former brokers who say they were denied pay when the firm shut down its U.S. private bank.

Fintech raises $5.1 million to expand annuity platform for 401(k)s
RETIREMENT PLANNING FEB 14, 2022
Fintech raises $5.1 million to expand annuity platform for 401(k)s

Major insurers including Allianz Life, Franklin Templeton and Pacific Life are joining a venture firm in backing San Francisco-based Micruity.

Metaverse ETFs are the hot new thematic investment
ALTERNATIVES FEB 14, 2022
Metaverse ETFs are the hot new thematic investment

Investors are piling into exchange-traded products that offer exposure to companies jockeying to create virtual realities.

Shariah robo-adviser charged, penalized by SEC
PRACTICE MANAGEMENT FEB 14, 2022
Shariah robo-adviser charged, penalized by SEC

The robo RIA, Wahed Invest, misled its clients about its proprietary funds, according to the SEC.

Overcoming imposter syndrome: Why advisers deserve success
OPINION FEB 11, 2022
Overcoming imposter syndrome: Why advisers deserve success

This behavioral pattern can thwart daily productivity, pause career growth and prevent leaders from knowing their true worth.

SEC bogs down on climate rule, handing White House fresh setback
PRACTICE MANAGEMENT FEB 11, 2022
SEC bogs down on climate rule, handing White House fresh setback

At issue is how much environmental data companies can be forced to disclose before regulators put themselves in legal jeopardy.

SEC cyber rule proposal poses challenges for small advisers
FINTECH FEB 10, 2022
SEC cyber rule proposal poses challenges for small advisers

Firms will have to beef up their ability to detect, react to and report attacks, which is easier to do if you have an IT department.

CFP Board issues ethical guides for planners
PRACTICE MANAGEMENT FEB 10, 2022
CFP Board issues ethical guides for planners

Each guide breaks down specific elements of the group’s Code and Standards and discusses how CFPs can fulfill their duties.

ESG credentials may affect company reputation, share price
EQUITIES FEB 10, 2022
ESG credentials may affect company reputation, share price

A report shows the majority of C-suite execs agree ESG issues will affect their companies' reputations over the next 12 months.

CAIS provides alts platform to Focus Financial firms
ALTERNATIVES FEB 10, 2022
CAIS provides alts platform to Focus Financial firms

The custom CAIS platform will allow for the evaluation of hedge funds, private equity, private credit, real estate, digital assets, and structured notes.

Morgan Stanley veteran Sharma joins Rockefeller
PRACTICE MANAGEMENT FEB 10, 2022
Morgan Stanley veteran Sharma joins Rockefeller

The executive will serve as managing director and chairman of Rockefeller's international unit as the firm expands its services to the world's super-rich.

Wells Fargo sets March 14 return-to-office date after delays
PRACTICE MANAGEMENT FEB 10, 2022
Wells Fargo sets March 14 return-to-office date after delays

The bank is allowing some fully vaccinated staff to voluntarily return, as well as resume business meetings, travel, and client visits.

Q4 2021 top fixed-income ETFs
FINTECH FEB 09, 2022
Q4 2021 top fixed-income ETFs

See the top 50 fixed-income ETFs ranked by quarterly returns, the top 25 fixed-income ETFs ranked by largest inflows, and the top 25 fixed-income ETFs ranked by largest outflows

SEC proposes first cybersecurity rule for investment advisers
FINTECH FEB 09, 2022
SEC proposes first cybersecurity rule for investment advisers

Under the regulation, advisers would have to adopt and implement policies and procedure to address cyber risks and report incidents to the SEC and on their Form ADV.

SoFi looks for big win at Super Bowl LVI
FINTECH FEB 09, 2022
SoFi looks for big win at Super Bowl LVI

The wealth management fintech spent $625 million to secure the naming rights to Los Angeles’ football stadium in 2019 and will be hoping for a major return on its investment.

CFP Board suspends Merrill adviser fired last month
PRACTICE MANAGEMENT FEB 09, 2022
CFP Board suspends Merrill adviser fired last month

Meanwhile, the adviser, James Iannazzo, who was arrested after an incident at a Connecticut smoothie shop, was ordered to stay away from the shop, according to a news report.

Finra finds brokerages fall short on Reg BI compliance
PRACTICE MANAGEMENT FEB 09, 2022
Finra finds brokerages fall short on Reg BI compliance

The Reg BI examination results are part of a 60-page report outlining the regulator's 2022 priorities.

Commonwealth launches program for next-gen advisers
BROKER DEALERS FEB 09, 2022
Commonwealth launches program for next-gen advisers

The monthly sessions over the course of a year are designed to help the firm's next-gen advisers build their businesses.