Tag: Broker/Dealer

Under the new “SCSD Initiative,” the SEC’s enforcement agents will recommend “standardized, favorable settlement terms” for investment advisers that self-report that they failed to disclose conflicts of interest...

Since the 20% deduction of qualified business income means that a self-employed individual will be taxed at a lower rate than an employee performing substantially the same work...

Josh Robbins, lead strategy officer for the direct-to-sponsor plan provider America’s Best 401K, offers a closer look at the virtues and potential weaknesses of the firm’s “disruptor” model...

Cerulli categorizes consolidator firms into three segments, and “The merits and drawbacks of each segment’s business model will often depend on the adviser’s motivations for affiliating with a...

Retirement plan fiduciaries must understand the expenses their participants pay to make trades and access investments, but their duty to monitor and ensure reasonableness is not limited to...

A new Corporate Insight report offers a brief history of the development of financial services technology security measures introduced since 1996—delivering for retirement plan fiduciaries important contextual information...

More than 60% of advisers say they work within a team structure, yet only one-third of teams regularly collaborate in their daily decisions and processes.

New research follows previous Cerulli analyses showing home-office discretion over advisory clients' investment exposures will increase significantly under the DOL fiduciary rule and other competitive pressures.

The technology conversation is no longer simply about the amount of data available, but rather how it is used and, more specifically, how granular it is, as to...

Presented here are the results of several dozen live polling questions fielded at the 2017 PLANADVISER National Conference, gathered during three days of highly detailed discussion of industry...

QMA Hires Head of Global Distribution; LCG Associates Hires Atlanta Consultant; Capital Investment Companies Announces Collaboration.

The legislation seeks to move fiduciary rulemaking power away from the DOL.

Broker/dealers (B/Ds) can address new regulatory pressures, and new competition, by enhancing their value proposition and embracing technology, a report by Cerulli suggests.

The latest U.S. monthly product trends report from Cerulli Associates compares the approaches to client service and practice leadership adopted by men versus women advisers.

The new business-development capability allows advisers to illustrate how certain changes could benefit a prospective client’s portfolio.

The firm will provide 3(21) and 3(28) services through a tech-focused solution.

In conversation with PLANADVISER, cybersecurity attorney and former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms to have a senior executive “not just appointed...

Aimed at asset managers and advisers, the first in the “In the Know” brief series covers Dodd-Frank, the Financial Choice Act and more.