WealthManagment.com Daily Memo
Wealth Management Daily Memo

JANUARY 10, 2018

REGULATION AND COMPLIANCE

CFA Institute Proposes Preliminary SEC Solution on Fiduciary Standard

The organization calls on the SEC to clarify existing requirements. Meanwhile the regulator is accelerating work on its own fiduciary rule.

FULL ARTICLE

ADVERTISEMENT

INDUSTRY

Cetera Wins Another Bank-Based Business from LPL

Investors Bank, with $600 million AUA, is moving to Cetera for its wealth management business and leaving INVEST, one of National Planning Holdings’ firms acquired by LPL.

FULL ARTICLE

SPONSORED CONTENT

Inside the Mind of the Client, Part 2

Behavioral finance is about understanding and overcoming biases that affect human decision-making, because often an emotional decision today, although comfortable, may work against long-term success.

DOWNLOAD WHITE PAPER

REGULATION AND COMPLIANCE

Advising DC Plan Sponsors on Rising Rates

Stay the course and don’t overreact to potential or actual rate increases.

FULL ARTICLE