News List


UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

Put podcasting on the to-do list for 2020

The trick is knowing your message and finding your voice

  • News
  • January 17, 2020

Commonwealth adviser arrested in child prostitution sting operation

Nathan Duane Oeming allegedly responded to an ad posted by a detective posing as a 15-year-old girl

Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

  • News
  • January 17, 2020

Lawmakers demand FTC investigate Envestnet Yodlee for selling consumer financial data

The data aggregator maintains it is in compliance with laws, regulations and best practices on data security and privacy

Real AI at work for advisers

Three firms where artificial intelligence is helping with financial planning

Active equity funds bled $41.4 billion in 2019: Morningstar

In sixth straight year of net inflows, passive funds pulled in $162.8 billion

Cryptocurrency trading platform introduces SMAs for digital assets

SFOX hopes the SMA platform will help more financial advisers manage cryptocurrency assets on behalf of clients

Regulators crack down on teacher pension plans rife with conflicts

Experts: Recent Delaware settlement a sign of things to come

Morgan Stanley eyes 1 million wealth management clients from stock plans

Technology push at Morgan Stanley comes into focus after Solium Capital acquisition


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