Practice Management

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SRI Poised For Growth, Survey Says

by FA Staff

A majority of investors in a new survey believed sustainable investing will become more prevalent over the next five years, but the perceived trade-off between profitability and making an impact was...

AssetMark To Focus On The 'Whys' Of Investment Plans, Goldman Says

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Good performance in U.S. equity markets doesn’t always make life easy for advisors.

Goldman Employees Reaped $2 Billion From 2008 Options Last Year

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While Goldman Sachs Group Inc. employees may get less compensation than in the past, many cashed in last year for a payday they’ve been awaiting since the depths of the financial crisis.

Fidelity Investments Aligns Clearing And Custody Units

by FA Staff

Boston-based Fidelity Institutional has combined its clearing and custody businesses into one unit.

Finding Conservative Investments Using Upside/Downside Capture Ratios

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Isaac Braley, president of BTS Asset Management, explains how advisors can use upside/downside capture ratios to help identify conservative funds for clients.

Millennials Won't Lose These Recession Scars Anytime Soon

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Improvements in the headline statistics mask some of the longer-lasting effects of the recession.

Obama Seeks New Rules For Brokers Handling Retirement Accounts

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Wall Street brokers and financial advisors could face new restrictions under the proposed fiduciary standard. The FPA and CFP Board applaud, while Sifma and FSI do not.

Finra Fines Rose Sharply Last Year

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Fines levied by the self-regulator of securities firms were roughly $135 million in 2014, an increase of 125 percent from the prior year, according to Sutherland, Asbill and Brennan LLP.

First Allied Teams Up With Tambaro Financial Services

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First Allied Securities will provide broker-dealer and custodial services to the newly created enterprise founded by Art Tambaro, former CEO of Royal Alliance.

Moore Elected Napfa Chair

by FA Staff

Frank Moore, president and founder of Vintage Financial Services, has been elected national chair.

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