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CFP Board Names Susan John as Chairwoman…

The CFP Board has named Susan John, a former chairwoman of the National Association of Personal Financial Advisors, as its chairwoman for 2019. So reports Financial Planning.

PWC Agrees to $1M Settlement Over Merril…

PricewaterhouseCoopers has agreed to pay a $1 million penalty to resolve a civil complaint claiming the company’s audit of Merrill Lynch's compliance program was insufficient. So reports Reuters.

LPL Offers Administrative Support to Adv…

LPL is now offering advisors administrative support through workers in its Charlotte and San Diego offices who conduct functions such as opening new accounts. So reports Financial Advisor.

Latest News

As the investor stampede to passive funds has continued, active portfolio managers have been increasingly waging a fight to win back customers. The tide may finally be turning, thanks to factors beyond active managers’ control.

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The CFP Board has named Susan John, a former chairwoman of the National Association of Personal Financial Advisors, as its chairwoman for 2019. So reports Financial Planning.

Read more

PricewaterhouseCoopers has agreed to pay a $1 million penalty to resolve a civil complaint claiming the company’s audit of Merrill Lynch's compliance program was insufficient. So reports Reuters.

Read more

LPL is now offering advisors administrative support through workers in its Charlotte and San Diego offices who conduct functions such as opening new accounts. So reports Financial Advisor.

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In a recent study, nearly two-thirds of millennials say finances are their biggest personal concern, while personal relationships rank second. So reports CNBC.

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Practice Management

How Are Financial Firms Attracting Digit…

As financial firms struggle to develop digital marketing programs, many face tough competition for workers.

Technology & Communications

New Bot Trades Off of Trump’s Tweets

A new bot created by advertising agency T3 automatically analyzes Donald Trump’s tweets and then shorts the stocks of companies that he criticizes. So reports Bloomberg.

Regulatory & Compliance

FINRA Issues Social Media Guidance

Firms that provide hyperlinks to other firms’ content or news publications have “adopted” the content, which triggers a variety of recordkeeping and document retention requirements, according to recent FINRA guidance...

Markets & Investments

Active Managers Wage Battle for Hearts a…

As the investor stampede to passive funds has continued, active portfolio managers have been increasingly waging a fight to win back customers. The tide may finally be turning, thanks to...

Retirement

How IRA Savings Can Fund Long-Term Care …

In some instances, transferring IRA savings into a tax qualified annuity and then using the annuity to purchase life insurance with a long-term care rider can be done without triggering...

News Roundup

CFP Board Names Susan John as Chairwoman…

The CFP Board has named Susan John, a former chairwoman of the National Association of Personal Financial Advisors, as its chairwoman for 2019. So reports Financial Planning.

People

Brexit, Market Jitters Create Opportunit…

Financial advisors often promote their services by saying that they can help remove emotions from investing.

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