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This Week’s Top Stories: Morgan Stanley Taps Recruiting Head, UBS Earnings Dip, and More
Most popular stories from January 19 to January 25 Read More The post This Week’s Top Stories: Morgan Stanley Taps Recruiting Head, UBS... Read more » - Discount broker is upgrading RIA servicing technology and its digital platform to take advantage of seismic industry shifts, CEO says. Read More The... Read more »
- UBS AG’s private wealth job cuts include U.S. insurance product veteran, and reorganization of U.S. field managers extends into southern California. Read More... Read more »
- Top stories from around the web. Read More The post Morning Brief: J.P. Morgan CEO Earns $31.5 Million appeared first on AdvisorHub.... Read more »
- Morgan Stanley hires six brokers in California, New York and Kentucky collectively producing $5.5 million, loses a $200-million-asset Manhattan team to regional... Read more »
- A group of former Wells Fargo & Co. executives are facing almost $59 million in fines and bans from the U.S. banking... Read more »
- Compensation and administrative expenses in Raymond James private client division jumped 7% last quarter, and profit was down 7%, but firm has... Read more »
- A growing cohort on Wall Street frets a sharp reversal could soon hit this year’s stock melt-up now that fast-money quants have... Read more »
Visa gambles $5.3 billion that Plaid will pay Big Data dividends while big-footing Envestnet-Yodlee and beating back fintech banking competitors
The Silicon Valley credit card king positions itself in the Yodlee data aggregation world by buying a San Francisco startup, which serves... Read more »- The Berwyn, Pa.-based manager of $25-billion made notable strides in TAMP-for-RIA market but staying up to date against SEI, Envestnet, or AssetMark... Read more »
- Top stories from around the web. Read More The post Morning Brief: Trump Renews Attack on Fed Rate Hikes appeared first on AdvisorHub.... Read more »
- Independent advisor entrepreneur cannot clear a 2002 complaint that a customer withdrew because of a rule technicality, according to an arbitration decision.... Read more »
Exclusive Interview: Ary Rosenbaum Says, Despite SECURE ACT, Some 401k MEPs Challenges Remain
"As far as adopting employers, I would recommend an ERISA attorney because an MEP isn’t the right fit and fiduciary solution for... Read more »- The dynamic duo of Keith Gregg and Derek Bruton has split into solo acts -- with Bruton joining British roll-up arrivistes, Kingswood.... Read more »
- As the fiduciary saga turns, wrist slapping fee violations, and the return of investing news? The post FiduciaryNews.com Trending Topics for ERISA... Read more »
- Orion CEO is insists no formal action is taking place but majority stakeholder, TA Associates, declines to back him up, Barron's isn't... Read more »
- San Francisco bank gets 1,000 of its 14,000 advisors to sign on to program that funds young advisors to buy out elders... Read more »
- Merchant Investment Management's executive chairman wants good people good at their job and Brinker likes having a breakaway Goldman partner rather than... Read more »
- Including these will make 401k plans safer for plan sponsors and more successful for plan participants. The post 5 Critical Elements Every... Read more »
- Watchers of the Boston-based firm presume CEO Abby Johnson's play connects to revenue hits from 'zero' programs but also a strategic rethinking... Read more »
NEWS
SEC Publishes Annual Reports on Credit Rating Agencies
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized... Read more »
Weekend Reading for Financial Planners (Jan 25-26)Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the industry news that lawmakers... Read more »
The Securities and Exchange Commission today charged a California-based couple with orchestrating a nearly billion-dollar Ponzi scheme involving alternative energy tax credits. According to... Read more »
SEC Announces 2020 Examination Priorities
Earlier this month, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for 2020. Many of the priorities... Read more »The Securities and Exchange Commission today announced that it will host a March 10 conference to focus on municipal securities, which are... Read more »
Leveraging Tech to Build Efficiency in Your Work
Have you ever wanted to find a quick-fix way to create more efficiency in your business? Advisers often try to use different... Read more »The Securities and Exchange Commission today announced that it has obtained a court order authorizing the distribution of over $63 million to... Read more »
The Securities and Exchange Commission today announced two whistleblower awards in connection with two separate enforcement actions. Both whistleblowers provided significant information... Read more »
- Coordinating QCDs With Post 70 1/2 IRA Contributions Under The SECURE Act
In December 2019, the Setting Every Community Up For Retirement Enhancement (SECURE) Act was passed into law, making many substantial updates to... Read more »
Forecast: Unpredictability with a Chance of Irrational Behavior
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Word Count - 679 Words Reading Time - ~3.5 minutes Last week, Blueprint hosted a webinar with our friend Jay Mooreland, author... Read more »- Career planning is a giant subject. Often it starts with the question: “What do I want to do with my career in... Read more »
The Securities and Exchange Commission today announced charges against Guy S. Griffithe and Robert W. Russell, and three companies they controlled, for... Read more »
- #FASuccess Ep 160: Accelerating Growth By Spending More Than 10% Of Revenue On Marketing (That Works), with Gabriel Shahin
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Welcome back to the 160th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Gabriel Shahin. Gabriel is the... Read more » Social media and digital marketing for investment managers
Darien Gould did a great job hosting my webinar on investment blogging for the Third Party Marketing Association last summer. I was... Read more »- The Art Of Vision Statements: Do They Really Help Advisory Firms Grow?
For every business owner, a well-written vision statement can be a tremendously effective tool, helping to clarify the long-term direction in which... Read more »
