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Advicent Expands Leadership Team with New CTO and VP; BPAS Adds External Wholesaler in South-Central Location; DCIAA Adds Senior-Level Positions for Retirement Research Center; and more. 

Putnam Announces New Pricing for TDFs; First Trust to Launch AI and Robotics ETF; and Vanguard Launches Factor-Based ETFs.

Turning to opportunistic allocations and alternative investments, they expect average returns of 7.2% this year, Natixis found in a survey.

The court said the plaintiffs claim that Fidelity agreed to overly conservative investment guidelines in a failed effort to lock up all wrap coverage so that its competitors...

Only 2.4% discontinued contributions, a mere 2.8% took withdrawals and just 1.3% took hardship withdrawals, ICI data show

Highlights from a new Natixis survey suggest reporting challenges continue to rank as top hurdle for institutions implementing ESG programs; this includes the concern that public companies may...

The firm also launched a three-month advertising campaign to help build brand awareness in the Asian-American community, and has a Mandarin page on its website.

After the plaintiff’s employment at Siemens concluded, Siemens sold one of its business divisions to Sivantos, Inc., and as part of the sale, Siemens transferred to Sivantos the...

The enforcement arm of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth alleges that Scotttrade violated the Massachusetts Uniform Securities Act and related...

Mercer Advisors and GFS Create RIA Firm Integration; Cetera Creates New Channels and Enhances Leadership Team; Nationwide Hires Lead for Retirement Institute; and more.

The 7th U.S. Circuit Court of Appeals quoted a Supreme Court decision which said “the principle underlying the statutes—which have been adopted by nearly every State—is well established...

The sizable ERISA suit’s third amended compliant explicitly names as a defendant one of the advisory firms supporting NYU’s retirement plans.

Among those who have never exercised or sold their equity compensation or ESPP, 34% admit to being worried about selling under the wrong market conditions and 34% say...

An analysis from Pew Charitable Trusts shows a correlation between access to and participation in workplace-based retirement savings programs and more planning and saving.

Since 2015, investors' interest in using digital advice platforms has increased modestly, far outpacing actual adoption, according to Cerulli; for clients of both traditional advisers and robo platforms,...

While 64% of couples in their 20's discuss retirement savings, this drops to only 48% for those 40 and over.

Under the new “SCSD Initiative,” the SEC’s enforcement agents will recommend “standardized, favorable settlement terms” for investment advisers that self-report that they failed to disclose conflicts of interest...

A study found DB plans that used the smoothed discount rates under current law had a much lower unfunded liability than plans that did not.