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YOUR BUSINESS

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CFP Board Delays Enforcement Of Its Fiduciary Standards To 2020

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The new rules start in October, but enforcement will be delayed eight months at the urging of CFPs and industry groups.

Will Form CRS Reduce Investor Confusion Or Add To It?

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As the industry works to meet a 2020 deadline for implementing the client form, questions remain about its impact.

Orion Acquires Software Provider Advizr

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Orion has purchased Advizr and will retain the firm's management and New York location.

Cetera Advisors To Get Retirement Income Planning Tool

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SetIncome will allow Cetera advisors to optimize clients' retirement income strategy with a few button clicks, Cetera said.

Female Clients And Male Advisors A 'Toxic' Combination, Study Says

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Women tend to devote more to cash and end up with lower returns when working with male advisors, the study said.

CFP Board Considers Postponing Enforcement Of Fiduciary Code

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About 36,000 CFP professionals who are brokers or dually-registered do not operate under a higher fiduciary standard

Clayton Goes On Reg BI Defense At Investor Roundtable

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Clayton called criticism against Regulation Best Interest "misguided."

Cybersecurity Threats Are Top RIA Concern In 2019, IAA Survey Says

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Issues relating to advertising and marketing were also among advisors' worries.

Fund Manager Jeffrey Epstein Accused Of Sex Trafficking

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The charges include sex acts with girls as young as 14 and carry a minimum of 10 years in prison.

Deutsche Bank To Cut Workforce By About 18,000 Jobs By 2022

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The German lender is retreating from equities sales and trading.

SEC's Broker Standard Likely To Add To Investor Confusion, Says IAA

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IAA’s Barr says it is now up to advisors to educate investors on value of fiduciary advice.

Finra Orders Summit Brokerage To Pay Restitution For Excessive Trades

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Firm failed to “reasonably supervise” reps’ trading and consolidated customer reports.

Gig Economy Workers Would Prefer Security Over Higher Earnings, Study Finds

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Most workers are not employed in "gig economy" jobs by choice, according to a recent study.

Mass. Advisor Who Defrauded Investors Agrees To Pay $1.3M, SEC Says

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The advisor allegedly steered clients into buying securities from a firm that was providing him loans.

Empty Desks And Early Beers: Life At Deutsche Bank In New York

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Inside the American headquarters of Deutsche Bank AG, the signs of trouble are everywhere.

Former UBS Broker Teams With Dynasty To Form $1.5B RIA

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Venture Visionary Partners, based in Toledo, Ohio, is headed by former UBS broker Craig Findley.

Envestnet/MoneyGuide Launches MyBlocks Digital Marketing

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The new offering for independent advisors is integrated with Redtail CRM.

Consumers Driving Advisors Further Into Digital Age

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Demand from clients for digital tools and communications is forcing advisors to change with the times, a LIMRA survey says.

Ohio Ex-Wells Fargo Advisor Sentenced To 5 Years For Ponzi Scheme Targeting Elderly

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John Gregory Schmidt was convicted of 128 counts of felony securities fraud in a Ponzi-like scheme.

SEC Charges New Defendant In $43 Million Tribal Bonds Fraud

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The latest defendant in the three-year-old case may have been the biggest winner from the scheme, the SEC said.

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