Does disclosure work? Daylian Cain, a professor at the Yale School of Management, says that while it's often necessary, it doesn't work the way regulators expect. His research shows it can actually diminish the quality of advice offered and leave...
Practice management support is the name of the game for the big players in the custodian market. But while competition is fierce, innovations are small and gradual.
Repayment of an EFL rested on whether a UBS branch was permanently closed.
Affluent women are more concerned and less confident about retirement than affluent men, while younger investors who have more than $250,000 in investable assets have become surprisingly conservative about investing for retirement, according to a...
While the number of advisors shifting to independent business models slowed somewhat last year from 2009, the size of those breakaways making the move is growing, says Fidelity Investments. It’s not a new trend for the No. 2 RIA custodian...
AUTHOR: Mark R. Siegel, Professor of Law, South Texas College of Law, Houston ...
AUTHOR: Frances H. Foster, Edward T. Foote II Professor of Law, Washington University School of Law, St. Louis ...
AUTHOR: Robert Hockett, Professor of Law, Cornell University Law School, Ithaca, N.Y...
