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Hundreds of pages of regulations amount to nothing until they’re enforced  
PRACTICE MANAGEMENT FEB 09, 2023
Hundreds of pages of regulations amount to nothing until they’re enforced  

We don't know how Reg BI or the CFP credential's fiduciary standard work in practice because there has been no substantial punishment for violating them.

Northern Trust Asset Management fills president vacancy with BlackRock veteran
PRACTICE MANAGEMENT FEB 09, 2023
Northern Trust Asset Management fills president vacancy with BlackRock veteran

Daniel Gamba starts work as president of the $1.2 trillion asset manager on April 3.

IBDs used to keep their hands off clients. Not anymore
BROKER DEALERS FEB 09, 2023
IBDs used to keep their hands off clients. Not anymore

Giant financial services companies are starting 2023 with more moves to control and own the assets of financial advisors, rather than servicing them for a modest fee.

Bring visual accessibility into focus with tools, workplace culture
PRACTICE MANAGEMENT FEB 09, 2023
Bring visual accessibility into focus with tools, workplace culture

Financial advisory firms need to be sure that clients are able to read documents, and providing that access is an ongoing process.

Growing demand for diversity investment products
PRACTICE MANAGEMENT FEB 09, 2023
Growing demand for diversity investment products

Firms are developing more products focused on equal opportunities and gender issues, Cerulli found.

BNY Mellon files for Women’s Empowerment ETF
MUTUAL FUNDS FEB 08, 2023
BNY Mellon files for Women’s Empowerment ETF

The fund aims to invest in companies that help improve the quality of life for women.

Labor Secretary Marty Walsh expected to step down to take job as head of NHL players union
RETIREMENT PLANNING FEB 08, 2023
Labor Secretary Marty Walsh expected to step down to take job as head of NHL players union

When Walsh will officially step down has not yet been announced but Deputy Secretary Julie Su is expected to become acting head of the agency.

SEC emphasizes probing marketing rule, Reg BI compliance
PRACTICE MANAGEMENT FEB 07, 2023
SEC emphasizes probing marketing rule, Reg BI compliance

The agency's other examination priorities for this year include RIAs who manage private funds, ESG investing and crypto.

5 ways for financial advisors to further their careers in 2023
OPINION FEB 07, 2023
5 ways for financial advisors to further their careers in 2023

Set aside time to take stock and focus your sights on what you want to achieve in the months ahead.

Compassion comes full circle when giving makes you a better advisor
OPINION FEB 07, 2023
Compassion comes full circle when giving makes you a better advisor

When an advisor launched a nonprofit in his ancestral home of Ghana, he also learned how to better understand his clients

Joe Duran's Goldman two-step: Exiting as partner, staying to consult
RIAS FEB 06, 2023
Joe Duran's Goldman two-step: Exiting as partner, staying to consult

As a consultant, Duran will focus on Goldman’s effort to become a leading custodian to RIAs, working with the head of Goldman’s RIA offering, Padi Raphael.

Investors like ESG and want advisors’ help with it: Survey
RETIREMENT PLANNING FEB 06, 2023
Investors like ESG and want advisors’ help with it: Survey

Nearly 90% of investors surveyed said they would like advisors to help them with allocations

Cracking the code
PRACTICE MANAGEMENT FEB 06, 2023
Cracking the code

Universities spark enthusiasm among Black students for advisory careers with pragmatic pitches.

Whose clients are they, anyway?
PRACTICE MANAGEMENT FEB 06, 2023
Whose clients are they, anyway?

Perhaps the reality is that neither firms nor advisors truly 'own' clients but rather are lessees of clients.

Fintech Bytes: TD Ameritrade updates trading software, Vanguard enhances robo
FINTECH FEB 03, 2023
Fintech Bytes: TD Ameritrade updates trading software, Vanguard enhances robo

Plus Pontera integrates with Envestnet, Tifin announces Morningstar collaboration, and Hearsay adds features to Sites.

LPL recruiting down in 2022
BROKER DEALERS FEB 03, 2023
LPL recruiting down in 2022

But CEO Dan Arnold is optimistic about the start of 2023, noting that the fourth quarter was the best period for recruiting last year and predicting that momentum will carry over into the first quarter.

How Elon Musk's latest change could make Twitter more expensive for advisors
FINTECH FEB 03, 2023
How Elon Musk's latest change could make Twitter more expensive for advisors

The social media company is cutting off free access to its API, which will impact archiving tools used by financial advisors.

Dickson out as head of Sanctuary Wealth, ex-Ladenburg exec Malamed in
BROKER DEALERS FEB 03, 2023
Dickson out as head of Sanctuary Wealth, ex-Ladenburg exec Malamed in

The firm declined to comment about Jim Dickson's sudden departure from Sanctuary Wealth, which he had led since 2018.

Bucking the trend: Why some advisors refuse to outsource investment management
RIAS FEB 02, 2023
Bucking the trend: Why some advisors refuse to outsource investment management

As portfolio management becomes increasingly commoditized, advisors make the case for managing assets in-house and promoting that to clients as a unique value-add.

Finra fines, suspends two brokers for Reg BI violations
PRACTICE MANAGEMENT FEB 02, 2023
Finra fines, suspends two brokers for Reg BI violations

The self-regulator claimed the reps traded excessively in the accounts of elderly customers.