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Advisor Brian Doench’s recorded text messages to his client may work against him in court, legal observers say.
A typical investment for Nuveen's $5.8 billion impact investing unit these days ranges from $20 million to $60 million, says its co-head.
As the face of our profession continues to change, only those most adaptable to change will thrive
The post Making use of momentum appeared first on InvestmentNews.
The Investment Company Institute is leading an effort to come up with definitions of the various approaches to sustainable investing
The post Fund industry tries to clarify types of ESG funds appeared first on InvestmentNews.
Mark Hopkins, who was barred by Finra in 2019, said he would put the funds in an investment earning 6% or 7%
The post SEC charges Michigan broker with taking $1.15 million from clients appeared first on InvestmentNews.
Independent advisers are enjoying the attention of Wall Street, where some big banks are focused on acquiring privately held assets
The post The hunt for mega RIAs appeared first on InvestmentNews.
The proposal fails to account for evidence that long-term investors, like retirees, are likely to earn better returns
The post DOL’S ESG proposal would hurt retirement accounts appeared first on InvestmentNews.
Nominations are open for the sixth annual Women to Watch recognition program
The post An eye on tomorrow appeared first on InvestmentNews.
Financial advisers should be 'legally obligated' to put clients’ interests first, according to the draft document
The post Democrats vow to scrap Reg BI in party platform appeared first on InvestmentNews.
A column this week by former AQR managing director Aaron Brown questioned the benefits of 401(k)s
The post Bloomberg op-ed gets fast rebuke from 401(k) defenders appeared first on InvestmentNews.
The latest roundup of 32 IBD affiliation moves, M&A deals and expert studies reveals the mixed impact of the coronavirus.
“It’s going to flip everything on its head,” says one XY Planning Network advisor.
Silicon Valley-based La Meer rolled out three online portals to help advisers comply with new regulations
The post Compliance fintech tackles Reg BI appeared first on InvestmentNews.
The Broadridge affiliate has not filed notices required by the DOL, plaintiffs in a class-action lawsuit claim
The post Matrix Trust Co. sued over alleged lack of 401(k) fee disclosure appeared first on InvestmentNews.
The veteran advisers, natives of Venezuela, are based in Miami
The post Female trio managing $280 million at UBS moves to Alex. Brown appeared first on InvestmentNews.
Compensation and control over the client relationship are two key issues surrounding the shut down
The post UBS’ private bank closure raises questions for elite advisers appeared first on InvestmentNews.
The all-women team has about $280 million in managed assets.
Recognizing the elephant — and donkey — in the room can lead to a broader conversation about long-term investing
But there is little consensus on how to do so, according to comment letters submitted this week to the regulator
The post DOL urged to address conflicts in pooled employer plans appeared first on InvestmentNews.
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