News Roundup (677)
RIA Channel Faces Challenges Despite Rapid Growth
- Thursday, 24 July 2014
- News Roundup
- Written by PFA News
The registered investment advisor channel is growing at a rapid clip, but it faces a host of challenges, including regulatory uncertainty, robo-advisors, and a shortage of new talent. So reports Financial Advisor.
Read more...It’s a Sellers’ Market: Study
- Friday, 11 July 2014
- News Roundup
- Written by PFA News
A recent Financial Services Institute study maintains that nearly one third of advisors want to buy an advisory firm within the next five years, while only 15% of owners of financial planning shops are interested in selling. So reports Business Insider.
Read more...Asset Manager Faces Big Tax Bill after Reorg
- Friday, 11 July 2014
- News Roundup
- Written by PFA News
Tocqueville Asset Management took action to simplify its complicated ownership compensation scheme and ended up with a $435,938 tax bill. So Forbes reports.
Read more...Brokerage Firms Pull out of Barclays Dark Pool
- Friday, 27 June 2014
- News Roundup
- Written by PFA News
A handful of brokers have reportedly severed their ties with a dark pool, or alternative trading platform, run by Barclays following a lawsuit against the company by New York State Attorney General Eric Schneiderman. So reports Fortune.
Read more...FT Ranks Top 300 RIAs
- Friday, 27 June 2014
- News Roundup
- Written by PFA News
The Financial Times has just released its inaugural listing of the nation’s top registered investment advisors.
Read more...SEC Delays Decision on Banning Broker Wrongdoing Expungements
- Friday, 20 June 2014
- News Roundup
- Written by PFA News
The Securities and Exchange Commission has postponed voting on a rule that would ban brokers from requiring clients to allow expungement of wrongdoing from public records as a condition of settling disputes. So reports Law360.
Read more...Widespread Anxiousness Among Affluent Investors: Study
- Friday, 20 June 2014
- News Roundup
- Written by PFA News
A recent Schwab Advisory Services survey has found that affluent investors 30 to 45 years old are anxious and insecure about their future. So reports Financial Advisor.
Read more...Industry Group Skeptical Over Proposed BrokerCheck Rule
- Sunday, 15 June 2014
- News Roundup
- Written by PFA News
The Financial Services Institute remains unconvinced that a rule proposal by the Financial Industry Regulatory Authority that would require brokers’ websites to have links to the BrokerCheck database will result in increased use of the service. So reports WealthManagement.
Read more...Thomson Reuters Special Report Helps Navigate ACA 'Play or Pay' Penalties
- Sunday, 15 June 2014
- News Roundup
- Written by PFA News
Thomson Reuters Checkpoint has released a special report for employers and other professionals who advise business clients. The report, "Get Ready to Play or Pay: Employer Shared Responsibility Under Health Care Reform," highlights key provisions employers must understand to avoid tax penalties related to the Affordable Care Act.
Read more...Ameriprise Financial Boosts Signing Bonuses
- Sunday, 15 June 2014
- News Roundup
- Written by PFA News
With lagging recruiting results, Ameriprise Financial has increased the signing bonuses that it will pay to top producing advisors. So reports Financial Advisor.
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