See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The Consumer Financial Protection Bureau on Wednesday said it's considering a proposal that would prohibit financial services firms from including mandatory arbitration clauses common in many consumer contracts. The w...
At Raymond James annual Women’s Symposium last week, women advisors met to share ideas and stories on how to succeed in the business today, touching on themes like the need to build confidence, help each other be successful, lean in and...
The Financial Industry Regulatory Authority ejected from its ranks Halcyon Cabot Partners, its CEO and chief compliance officer, alleging the New York-based brokerage and investment services firm ran a kickback scheme involving private placement...
Can you hear me now?
Though independence is one of the defining characteristics of many registered investment advisors, it’s also a challenge to presenting a unified front to regulators in Washington D.C. To help independent RIAs get their...
A trio of former Securities and Exchange Commission chairs say that the agency needs to move forward immediately on a uniform fiduciary standard for financial advisors that regulates based on job functions, rather than what job title professionals...
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The lengthy public estate dispute between the late Robin Williams’ wife, Susan, and his three children from a previous marriage came to an end on Friday. The New York Daily News reports that the sides have reac...
Turns out teaming up with your spouse to run an advisory business is a smart move. Among advisors working as part of a team, the most successful are husbands and wives, according to new research by PriceMetrix.
Teams made up of husbands and ...
Good help is hard to find. | Copyright Justin Sullivan, Getty Images
According to a Genworth study, half of the 1,200 caregivers surveyed said providing care for loved ones took a significant toll on their careers, and 11 percent said they...
