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Morgan Stanley operating chief Jon Pruzan exiting firm
PRACTICE MANAGEMENT JAN 09, 2023
Morgan Stanley operating chief Jon Pruzan exiting firm

The executive, who was once considered a potential CEO candidate, is leaving after a 28-year run.

January jump in divorces offers advisors opportunity to provide value
RETIREMENT PLANNING JAN 09, 2023
January jump in divorces offers advisors opportunity to provide value

While divorce is a sad fact for families, it gives financial advisors the chance to prove their worth over a short, intense period.

New ETF bets on companies led by women
EQUITIES JAN 09, 2023
New ETF bets on companies led by women

Hypatia Women CEO ETF leverages the logic that female executives represent a rare level of excellence when it comes to leadership and management skills.

Smoothie-throwing broker under microscope for cash transactions
PRACTICE MANAGEMENT JAN 09, 2023
Smoothie-throwing broker under microscope for cash transactions

Finra has made a 'preliminary decision' to recommend some type of disciplinary action against James Iannazzo, according to BrokerCheck.

The question most advisors aren't asking clients about their financial future
OPINION JAN 09, 2023
The question most advisors aren't asking clients about their financial future

Advisors should encourage clients to take an honest look at where they are in life, assess their priorities, reflect on their values, and align it all to their goals.

Growth or flexibility? Fintechs must choose
ALTERNATIVES JAN 09, 2023
Growth or flexibility? Fintechs must choose

Fintechs may find themselves mimicking some of the same strategies advisors use to demonstrate the value they bring to clients during difficult markets.

Here’s how inflation and philanthropy could give women a boost in ’23
PRACTICE MANAGEMENT JAN 09, 2023
Here’s how inflation and philanthropy could give women a boost in ’23

Philanthropic goals are prompting women to become more involved in family asset management.

FTC proposes ban on noncompete contracts
PRACTICE MANAGEMENT JAN 06, 2023
FTC proposes ban on noncompete contracts

The proposal would bar employers from entering into or enforcing such clauses and require companies to nullify any existing ones within six months.

James Lee begins term as 2023 FPA president
PRACTICE MANAGEMENT JAN 05, 2023
James Lee begins term as 2023 FPA president

Lee plans to focus on advancing the FPA's mission of title protection for financial planners.

After rough ride in '22, 60/40 portfolio looks poised for solid '23
EQUITIES JAN 05, 2023
After rough ride in '22, 60/40 portfolio looks poised for solid '23

The same Fed policy that hurt fixed income last year is likely to make it the ballast for portfolios for the year ahead.

Playing the long game is key to navigating market uncertainty
PRACTICE MANAGEMENT JAN 05, 2023
Playing the long game is key to navigating market uncertainty

Steady guidance can calm consumers’ fears — and emotional reactions — around inflation and market volatility.

Opaque business models cloud women’s way in advisory business
PRACTICE MANAGEMENT JAN 04, 2023
Opaque business models cloud women’s way in advisory business

It's up to the industry to explain to potential recruits how advisors make a living.

Tom Naratil one of four nominees to Envestnet board in escalating proxy contest
FINTECH JAN 04, 2023
Tom Naratil one of four nominees to Envestnet board in escalating proxy contest

Instead of a single seat on the company's board, activist investor Impactive Capital is now seeking more significant change.

Coinbase agrees to pay $100 million to settle compliance investigation
ALTERNATIVES JAN 04, 2023
Coinbase agrees to pay $100 million to settle compliance investigation

The firm is required to pay a $50 million fine and spend $50 million to improve compliance over two years.

How to avoid being the next Southwest Airlines
OPINION JAN 04, 2023
How to avoid being the next Southwest Airlines

Here are three areas that wealth management firms should be monitoring to avoid taking the kind of reputational hit the airline just suffered.

How to scale and avoid disclosure violations using automation
OPINION JAN 04, 2023
How to scale and avoid disclosure violations using automation

The ever-growing number of items that compliance officers and teams must monitor has made tracking regulatory compliance disclosures more complicated than ever.

SEC meets strong industry resistance on advisor outsourcing proposal
PRACTICE MANAGEMENT JAN 03, 2023
SEC meets strong industry resistance on advisor outsourcing proposal

Critics say the measure's due diligence and monitoring requirements for third-party providers of portfolio management and other services are unnecessary given advisors' fiduciary duty.

Finra smacked 15 firms over GPB sales in 2022
ALTERNATIVES JAN 03, 2023
Finra smacked 15 firms over GPB sales in 2022

The regulator's penalties averaged $247,000 per firm, according to an InvestmentNews tally.

Do clients want to invest in sustainability? You're asking the wrong questions
OPINION JAN 03, 2023
Do clients want to invest in sustainability? You're asking the wrong questions

It isn't just a matter of identifying clients who are interested, but of removing whatever obstacle is keeping them from investing.

Social Security expert starts phased retirement
RETIREMENT PLANNING DEC 23, 2022
Social Security expert starts phased retirement

Mary Beth Franklin, who launched her final career phase as a weekly columnist in 2012, will continue writing a monthly column for InvestmentNews.