Advisor Warning: Vet Tech Vendors Carefully
Security and business continuity concerns must be addressed in service agreements when outsourcing tech operations to a third party.
More in Regulatory/Compliance
As long as a nonprofit group stays "on the right side of the line -- even though either you or I would say what they are doing is wrong -- it's still protected by 'judgment,'" or a right to broad discretion in decision-making. more »
Thomas J. Buck, an ex-Merrill Lynch and RBC advisor who once oversaw $1.2B in client assets, consented to FINRA findings that he "willfully committed fraud." more »
The firm pursued the advisor for a bonus clawback while the advisor in turn sought damages for alleged discrimination and breach of good faith. more »
Comparing its authority to that of sororities, country clubs and other trade organizations, the CFP Board convinced a federal judge to throw out planners' fee only lawsuit. more »
Why timing is important for clients filing for Social Security; Plus, how to decide whether your client should invest in a 401(k) or a Roth IRA. more »
For the third time in the past year, the wirehouse discharged a long-time advisor with a big book of business, this time alleging "inappropriate workplace behavior." more »
The firm reported solid growth and record advisor productivity in its wealth management business. more »
Critics charge that the fiduciary proposal will be a death knell for the brokerage model in the retirement space, leaving low- and middle-income investors without advice. more »
Digital-first firms gravitate toward a blogging website that has aired several heated industry debates, a markedly different approach from the cautious way traditional firms present themselves online. more »
The advisor agreed to a lifetime bar from the industry after a hacker who impersonated a client persuaded him to illegally transfer $160,000 of client funds. more »
Holding special events and activities for clients can strengthen relationships with wealthy individuals in your business, as long as advisors keep within compliance. more »
The Obama administration on Tuesday finalized new regulations designed to crack down on high-cost loans to members of the military. more »
The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen. more »
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