News List


  • News
  • January 7, 2020

UBS wealth unit revamp gathers pace

The wirehouse plans to cut as many as 500 private banking jobs as it moves forward with its overhaul

  • News
  • January 7, 2020

New York wealth manager to plead guilty in fraud case

Former COO of M&R Capital Management was charged with bilking the firm of about $6 million

  • News
  • January 6, 2020

Controversial dual-class stocks get their own ETF

Exchange Traded Concepts will offer a fund that tracks companies that issue at least two types of shares

Reg BI allows brokers doing planning to avoid becoming fiduciaries: FPA

Group files amicus brief in support of lawsuits seeking to overturn regulation

2020 tips for digital marketing campaigns

Advisers need a coordinated digital strategy if they want to stand out from the competition

  • News
  • January 6, 2020

Private equity money finds new entry point to wealth management

PR firm Gregory FCA sells minority stake to private equity investors

  • News
  • January 3, 2020

Advisers welcome potential regulatory scrutiny of ESG investing

Possible SEC involvement could bring more clarity to what qualifies as socially responsible

  • News
  • January 3, 2020

Using ETF clones to save on fees

State Street Global Advisors is launching cheaper versions of three popular index strategies

Judge throws out suit that aimed to block Schwab acquisition

RIA BlackCrown violated procedure by filing antitrust lawsuit without attorney

  • News
  • January 2, 2020

Vanguard eliminates trading fees for stocks and options

The move brings the low-cost asset manager up to speed with the likes of Schwab, TD Ameritrade, Fidelity and ETrade


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