Is arbitration fair? Do retail investors get a fair shake in arbitration hearings, considering one member of the three-member panel is an industry person? The argument has been ongoing, with the most recent salvo fired off by a new academic study...
As the wealth-management business gets more complex, and the war for talent and wealthy clients heats up, good, integrated technology systems are becoming more and more important. And wealth managers aren’t too happy with what they’ve...
For the first time ever, bank holding companies (BHC) were required by the federal government to report annuity fees and commissions—and it turns out Wachovia earned more than any other BHC.
Kevin Matras goes over the importance of screening and
back-testing. See how you can increase you odds for success, and get three new stock picks for this week.
RBC Dain Rauscher is continuing its recent streak of acquisitions, part of an effort by Canadian parent Royal Bank of Canada to build a bigger presence in the lucrative U.S. wealth management market. Dain announced today plans to acquire Ferris...
The SEC voted today to propose changes to the structure of the Form ADV, the disclosure document that all investment advisers must complete. Instead of the current online check-the-box format, investment advisers would need to create a narrative...
You’ve heard of the “Bull Markets, Bear Knees” theory. It goes like this: When you want to know which way the equity market is headed, watch the direction of women’s dresses. In the late 19th century and early part of the...
Deal-making in the wealth management space has been rampant lately, and some wealth management-holding companies and individual RIAs are beginning to see opportunities in Europe. But heading across the pond may not be for everyone.
This week, Kevin Matras shows you why looking for stocks
with upgraded broker ratings can advance your portfolio to a whole new level. Then see how the Zacks Rank makes it even better, and get three new stock picks from this week¹s screen.
