Industry

'Golden Age' for Advisors ... and Headhunters?

Recruiters see a banner year for advisor moves, likening the landscape to a seller's market. More »

Career Moves

'Golden Age' for Advisors ... and Headhunters?

Recruiters see a banner year for advisor moves, likening the landscape to a seller's market. read more »

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Clearinghouses/ Custodians

Pershing Hit With $3 Million Fine for 'Supervisory Failures'

Pershing's failures "exposed customer funds and securities to risk," according to FINRA. read more »

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Family offices will face increasing challenges, according to Deloitte's 2015 Private Wealth Outlook, but financial advisors can help, says Julia Cloud, the firm's national managing partner for private wealth.

3 Family Office Challenges That Advisors Can Solve

'Financial advisors' insights are critical in helping the family offices evaluate and execute their next steps,' says Julia Cloud, national managing partner, private wealth, for Deloitte. read more »

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Independent BDs

Girard Securities' CEO Calls Large SEC Exam 'Routine'

Large data pulls required in stepped-up SEC exam are not related to ongoing troubles at Girard parent RCS Capital or American Realty Capital, CEO says. read more »

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RIAs

New Best Practices Aim to Codify Advisors' Fiduciary Duty

Aiming at a new professional certification, the Institute for the Fiduciary Standard published a draft of best practices for fiduciaries, seeking to help investors distinguish between "product sellers and advice givers." read more »

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