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Business continuity planning is top compliance concern for advisory firms
RIAS JUL 17, 2020
Business continuity planning is top compliance concern for advisory firms

Issue eclipses cybersecurity for first time in six years in the Investment Adviser Association survey

One year since AssetMark's IPO: A look at the TAMP's growth
FINTECH JUL 17, 2020
One year since AssetMark's IPO: A look at the TAMP's growth

As the TAMP celebrates its IPO anniversary, CEO Charles Goldman reflects on challenges the company faced, the state of the market and future growth areas

Her Success Matters: Mindy Diamond
WOMEN ADVISOR COMMUNITY JUL 17, 2020
Her Success Matters: Mindy Diamond

Recruiting powerhouse Mindy Diamond and InvestmentNews CEO Christine Shaw talk about how female CEOs can empower the next generation of women advisers to step into leadership roles

Sell baby sell! Merrill Lynch shuts down trainee program
PRACTICE MANAGEMENT JUL 17, 2020
Sell baby sell! Merrill Lynch shuts down trainee program

The latest episode of the InvestmentNews Podcast looks at Merrill’s headache trying to manage broker trainees who are learning to cold-call from home

Make growth of your advisory business a pandemic silver lining
PRACTICE MANAGEMENT JUL 17, 2020
Make growth of your advisory business a pandemic silver lining

When dissatisfied clients look for a new financial adviser, will they find you?

Financial literacy is important for financial inclusion
OPINION JUL 17, 2020
Financial literacy is important for financial inclusion

Advisers can help expand financial inclusion by assisting people in understanding essential concepts and developing the skills needed to reach their financial goals

The key for advisers still working from home? It's digital
RIAS JUL 16, 2020
The key for advisers still working from home? It's digital

With back-to-office plans in flux, the acceleration of digital-driven processes among advisers is a trend for the long haul

CFP Board offers remote option for September exams
PRACTICE MANAGEMENT JUL 16, 2020
CFP Board offers remote option for September exams

Finra, NASAA began scheduling online tests earlier this week

Merrill adviser headcount up 2% as trainee hiring resumes
PRACTICE MANAGEMENT JUL 16, 2020
Merrill adviser headcount up 2% as trainee hiring resumes

The brokerage will also be getting back the 650 trainees it shifted to the wider bank to help with PPP loans

As M&A activity ramps back up, RIAs need to bone up on the details
RIAS JUL 16, 2020
As M&A activity ramps back up, RIAs need to bone up on the details

Independent advisers want to do deals, but many confess they aren't really prepared to do so

Robinhood to expand offerings after $600 million funding round
FINTECH JUL 15, 2020
Robinhood to expand offerings after $600 million funding round

The online trading app intends to invest in new products, as lawmakers have pressed the firm to increase investor protections

Building a structure for digital success
OPINION JUL 15, 2020
Building a structure for digital success

How firms can cultivate an organizational structure that accelerates digital transformation

Student loans center of 401(k) perk  for Allianz workers
RETIREMENT PLANNING JUL 15, 2020
Student loans center of 401(k) perk for Allianz workers

The company will consider some loan repayments as contributions toward reaching the employer match

Four pillars of inspiration for stronger client relationships
OPINION JUL 15, 2020
Four pillars of inspiration for stronger client relationships

The proven process of the adviser-client relationship provides a great blueprint to help firms optimize their work

Hybrid managing $300 million moves to LPL from Voya
BROKER DEALERS JUL 15, 2020
Hybrid managing $300 million moves to LPL from Voya

Crossroads Financial Services will use Financial Services Network as an office of supervisory jurisdiction

SEC charges cryptocurrency app Abra with unregistered swap transactions
FINTECH JUL 14, 2020
SEC charges cryptocurrency app Abra with unregistered swap transactions

The startup allegedly offered security-based swaps to retail investors without registration

Kamila McDonnough elected CFP Board Chair-elect
RIAS JUL 14, 2020
Kamila McDonnough elected CFP Board Chair-elect

The president of the advisory firm GRID 202 Partners will take the top post in 2022

Wells Fargo reports drop in advisers, assets for Q2
PRACTICE MANAGEMENT JUL 14, 2020
Wells Fargo reports drop in advisers, assets for Q2

Wells Fargo Advisors says it is focused on hiring bigger producing teams

Lawmakers press Robinhood about investor protections on trading platform
ALTERNATIVES JUL 13, 2020
Lawmakers press Robinhood about investor protections on trading platform

Letter from Capitol Hill says the firm ‘must do better’ in the wake of the suicide of a user

Morgan Stanley informs customers of possible data leak
FINTECH JUL 13, 2020
Morgan Stanley informs customers of possible data leak

The wirehouse is offering customers a two-year free subscription to a credit report monitoring service to compensate for the potential compromise of data