Private placements require a higher level of scrutiny than listed securities, so advisers need to know who is doing the auditing and whether independent due diligence is being conducted. <i>InvestmentNews</i> News Editor Bruce Kelly explores some of the risks and issues engulfing the industry.
Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.
In a Washington where Republicans are ascendant — taking over the House and increasing their Senate numbers to a level that ensures filibuster success — the term “regulation” is unpopular.
Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms, however, are largely absent from the revolution.
Because of the near-mania over the Apple iPad, I've been bombarded of late by advisers who want to incorporate the device into their practices but aren't really sure what it can do for them.
Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year.
State securities regulators are meeting next week to begin planning for the examinations of more than 3,000 investment advisers expected to come under their jurisdiction next year.
The College for Financial Planning is offering a new designation — accredited domestic partnership adviser — for planners who work with gay, lesbian, bisexual and transgender couples.
A new rule aimed at making the financial advisory business more understandable to clients is giving advisers a headache.
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to <i>InvestmentNews</i> data.
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
