Latest News

Broker/Dealer

October 13, 2017

Retirement Industry People Moves

QMA Hires Head of Global Distribution; LCG Associates Hires Atlanta Consultant; Capital Investment Companies Announces Collaboration.

September 15, 2017

Cybersecurity Must Be C-Suite Concern at RIAs, Brokers and Managers

In conversation with PLANADVISER, cybersecurity attorney and former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms to have a senior executive “not just appointed but also empowered” as the chief information security risk officer. 

August 25, 2017

Retirement Industry People Moves

Cetera Expands Retirement Business; Mercer Expands Leadership in Detroit Office; OneAmerica Names West Coast Relationship Executive.

July 12, 2017

UBS Challenges Client Recruiting By Former Advisers

A lawsuit filed by UBS against a number of former brokers—accused of too aggressively soliciting old clients immediately after going independent—shows plan participants aren’t the only source of potential litigation.

June 20, 2017

Top Advisers Let Tech Do the Heavy Lifting

“Advisers who embrace technology—especially solutions to more efficiently handle tedious recurring client-service tasks—are going to be the ones who scale, grow and ultimately win.”