UBS

'Rubbish': Advisors, firms trade barbs over SEC's best interest rule

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

Regulation Best Interest Tobias Salinger August 14

Regulation Best Interest Tobias Salinger August 14
Ex-UBS broker pens 11-page confession of $4M fraud: SEC

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

Securities fraud Sean Allocca August 10

Securities fraud Sean Allocca August 10
Wells Fargo is hiring. Will brokers sign on?

Banking scandals are playing only a small role in advisor attrition, the firm says.

Recruiting Jessica Mathews July 25

Recruiting Jessica Mathews July 25
BlackRock goes high-tech, low-fee with first onshore China fund

The firm aims to target affluent mainland investors for the first time, while making it free of various offshore investment restrictions.

International funds July 25

International funds July 25
Despite explosive asset growth, advisor workforce keeps shrinking

Here’s what the two seemingly contradictory trends mean for advisors.

Broker Protocol Ann Marsh July 17

Broker Protocol Ann Marsh July 17
The 10 most thought-provoking insights from In|Vest

As digital technology transforms wealth management, industry leaders take a stand on where the field is headed.

In|Vest Conference Kerri Anne Renzulli July 16

In|Vest Conference Kerri Anne Renzulli July 16
HNW clients are more complex than others when it comes to digital

"We're not being judged on what other banks are doing. We're being compared to Amazon and Google," says Kraleigh Woodford, managing director at UBS WM USA.

In|Vest Conference Charles Paikert July 11

In|Vest Conference Charles Paikert July 11
Video HNW clients demanding an enhanced digital experience

Needs of wealthy clients are "a lot more complex," says Kraleigh Woodford, managing director and head of digital client experience at UBS Wealth Management.

In|Vest Conference July 10

In|Vest Conference July 10
Advisors on the move: 49 of the biggest, most recent jumps

While Raymond James and Stifel are on hiring sprees, Wells Fargo is still losing talent.

Career moves Jessica Mathews June 26

Career moves Jessica Mathews June 26
LPL’s Bill Morrissey to step down as firm taps replacement from UBS

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

Independent BDs Tobias Salinger June 25

Independent BDs Tobias Salinger June 25

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