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Morgan Stanley is considering new names for Morgan Stanley Smith Barney, the 18,000-advisor retail brokerage joint venture it created in a deal with then-Smith Barney owner Citigroup, back in 2009.
Wealth managers working for banks are grappling with the fallout of last year’s Dodd-Frank Wall Street Reform and Consumer Protection Act, according to top banking officials speaking at the opening general session of the American Bankers...
On Oct. 26, 2009, Internal Revenue Service Commissioner Douglas Shulman, speaking at the annual meeting of the American Institute of Certified Public Accountants (AICPA), announced the IRS' creation of a new audit unit, the Global High Wealth Unit...
Broker disdain for banking culture runs deep. But banks see brokerages as another — important — bank product distribution outlet. Can this marriage work? Should it?
On Wednesday, the SEC proposed open-ended rules aimed at reigning in incentive comp. The rules, which stem from Section 956 of the Dodd-Frank Act, would prohibit incentive-based compensation arrangements that encourage “inappropriate”...
The personal touch is still the most effective way for wealth managers to grow their business, but the use of social media is gaining fast, according to a new study by Advisors Trusted Advisor, a Medfield, Mass.-based practice management...
Boutique one-office shops still dominate the RIA industry. But a number of RIA firms are now expanding aggressively with an eye to creating a national footprint.
On Dec. 17, 2010, President Obama signed into law the Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010 (the Act). The Act significantly impacts the estate planning that advisors will recommend to their clients, as...
