Industry http://wealthmanagement.com/taxonomy/term/23611/more en The Economic Impact of FSI Members http://wealthmanagement.com/blog/economic-impact-fsi-members <div class="node-body blog-body">FSI Members positively impact the economy, Bridgewater Wealth launches Her Wealth Initiative and Quovo rolls-out a new advisor dashboard.</div> <p><a href="http://wealthmanagement.com/blog/economic-impact-fsi-members" target="_blank">read more</a></p> http://wealthmanagement.com/blog/economic-impact-fsi-members#comments Industry Technology Blogs The Daily Brief Mon, 03 Oct 2016 10:00:00 +0000 1344361 at http://wealthmanagement.com Wall Street Guru’s Spiritual Guide to Hitting Your Number Faster http://wealthmanagement.com/people/wall-street-guru-s-spiritual-guide-hitting-your-number-faster <div class="field-byline"> Sangwon Yoon </div> <div class="node-body article-body">Khemaridh Hy left BlackRock at 35 and became a sort of small-time self-help guru.</div> <p><a href="http://wealthmanagement.com/people/wall-street-guru-s-spiritual-guide-hitting-your-number-faster" target="_blank">read more</a></p> http://wealthmanagement.com/people/wall-street-guru-s-spiritual-guide-hitting-your-number-faster#comments Industry People Fri, 30 Sep 2016 13:53:00 +0000 1343391 at http://wealthmanagement.com <p>Khemaridh Hy</p> Scottrade Said to Be Working With Adviser to Explore Sale http://wealthmanagement.com/industry/scottrade-said-be-working-adviser-explore-sale <div class="field-byline"> Matthew Monks </div> <div class="node-body article-body">Scottrade Financial Services Inc., the online brokerage, is working with an adviser to explore a sale, according to people familiar with the matter.</div> <p><a href="http://wealthmanagement.com/industry/scottrade-said-be-working-adviser-explore-sale" target="_blank">read more</a></p> http://wealthmanagement.com/industry/scottrade-said-be-working-adviser-explore-sale#comments Industry Thu, 29 Sep 2016 13:27:00 +0000 1341851 at http://wealthmanagement.com Wells Fargo's CEO Pay Clawback Puts Wall Street Execs on Notice http://wealthmanagement.com/industry/wells-fargos-ceo-pay-clawback-puts-wall-street-execs-notice <div class="field-byline"> Olivia Oran and Ross Kerber </div> <div class="node-body article-body">Wells Fargo &amp; Co's unprecedented move to strip Chief Executive John Stumpf of $41 million in stock awards has sent a chill through Wall Street.</div> <p><a href="http://wealthmanagement.com/industry/wells-fargos-ceo-pay-clawback-puts-wall-street-execs-notice" target="_blank">read more</a></p> http://wealthmanagement.com/industry/wells-fargos-ceo-pay-clawback-puts-wall-street-execs-notice#comments Industry Thu, 29 Sep 2016 11:00:00 +0000 1341351 at http://wealthmanagement.com Copyright Win McNamee, Getty Images Investors Want to Feel Confident With Digital Investing http://wealthmanagement.com/blog/investors-want-feel-confident-digital-investing <div class="node-body blog-body">Investors want easy to use digital investing tools, IRI teams with RegEd on DOL compliance training and JPMorgan Chase moves around executives for new wealth/investment unit.</div> <p><a href="http://wealthmanagement.com/blog/investors-want-feel-confident-digital-investing" target="_blank">read more</a></p> http://wealthmanagement.com/blog/investors-want-feel-confident-digital-investing#comments Industry People Technology Blogs The Daily Brief Thu, 29 Sep 2016 10:00:00 +0000 1340761 at http://wealthmanagement.com EF Hutton Launching Self-Directed Investment Platform http://wealthmanagement.com/technology/ef-hutton-launching-self-directed-investment-platform <div class="node-body article-body">In the latest comeback attempt for the storied brand, the owners of EF Hutton launched a new website Wednesday that provides “automated financial services for clients 24/7 and with customized services.” Sounds like a robo? </div> <p><a href="http://wealthmanagement.com/technology/ef-hutton-launching-self-directed-investment-platform" target="_blank">read more</a></p> http://wealthmanagement.com/technology/ef-hutton-launching-self-directed-investment-platform#comments Industry Technology Wed, 28 Sep 2016 19:05:00 +0000 1338821 at http://wealthmanagement.com Nationwide to Acquire Jefferson National http://wealthmanagement.com/industry/nationwide-acquire-jefferson-national <div class="node-body article-body">Jefferson National's fee-based annuities and advisors will help Nationwide comply with the DOL's fiduciary rules. </div> <p><a href="http://wealthmanagement.com/industry/nationwide-acquire-jefferson-national" target="_blank">read more</a></p> http://wealthmanagement.com/industry/nationwide-acquire-jefferson-national#comments Industry Wed, 28 Sep 2016 18:47:00 +0000 1340511 at http://wealthmanagement.com SEC Says UBS to Pay $15 Million Over Sales Practices http://wealthmanagement.com/industry/sec-says-ubs-pay-15-million-over-sales-practices <div class="field-byline"> Jonathan Stempel and Elizabeth Dilts </div> <div class="node-body article-body">UBS Group AG has agreed to pay more than $15 million to settle U.S. Securities and Exchange Commission charges that its failure to properly train brokers led to customers buying hundreds of millions of dollars of unsuitable securities.</div> <p><a href="http://wealthmanagement.com/industry/sec-says-ubs-pay-15-million-over-sales-practices" target="_blank">read more</a></p> http://wealthmanagement.com/industry/sec-says-ubs-pay-15-million-over-sales-practices#comments Industry Wirehouse Wed, 28 Sep 2016 17:48:00 +0000 1340381 at http://wealthmanagement.com Copyright Chris Hondros, Getty Images Peak Finance Looks as If It Has Come and Gone http://wealthmanagement.com/etfs/peak-finance-looks-if-it-has-come-and-gone <div class="field-byline"> Noah Smith </div> <div class="node-body article-body">It’s time to ask a scary question: How much of the financial industry will soon be obsolete?</div> <p><a href="http://wealthmanagement.com/etfs/peak-finance-looks-if-it-has-come-and-gone" target="_blank">read more</a></p> http://wealthmanagement.com/etfs/peak-finance-looks-if-it-has-come-and-gone#comments Industry Technology ETFs Wed, 28 Sep 2016 13:35:00 +0000 1339801 at http://wealthmanagement.com <p>Remnants of a bygone era.</p> U.S. Prepares Bevy of Rule Proposals on Asset Management, Trading http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading <div class="field-byline"> Lisa Lambert </div> <div class="node-body article-body">The top two U.S. securities regulators on Tuesday outlined rule proposals ranging from asset management to swaps dealing they will take up in coming months, indicating the agencies will be at full throttle through election season to the end of the year.</div> <p><a href="http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading" target="_blank">read more</a></p> http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading#comments Industry Regulation & Compliance Wed, 28 Sep 2016 12:48:00 +0000 1338861 at http://wealthmanagement.com <p>SEC Chair Mary Jo White indicated the agency is working on stress tests for asset managers.</p> Copyright T.J. Kirkpatrick, Getty Images