Industry

"One thing we can tell you is our opposition was there before us," says FPA's director of advocacy. "We heard over and over again the argument that if a fiduciary standard were extended to broker-dealers the middle market would be hurt."

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Darrel Hackett will be responsible for BMO Financial Group's personal wealth management businesses throughout the United States.

Want to know what matters most to the people who make your business run? Here’s how to set up a panel to get better client feedback.

As competition for talent increases, the best way for RIA firms to hold onto top-tier employees is to make it worth their while. Schwab's 2014 RIA Benchmarking Study highlights three major steps toward building a good compensation plan.

The broker-dealer giant has acquired a 51% interest in electronic services firm Docupace Technologies.

"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management.

Two former advisors from Fifth Third Private Bank are joining LPL's broker-dealer and custodial platforms as an independent hybrid firm, StreamSong Advisors.

Morgan Stanley hired a team with $4.5 billion in AUM – the second multi-billion-dollar team plucked from Merrill Lynch this month.

Sales and advice should be separated by law, because there’s a clear difference between true "fiduciary" practices and those of the brokerage industry, Fiduciary Institute says.