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Summary: Securities and Exchange Commission Chairman Jay Clayton told Senate lawmakers Tuesday that harmonizing a fiduciary rule with the Labor Department is a top priority for him and laid out four steps the agency plans to take on such a harmonized rule.
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Summary: There's a lot more to succession planning than just hiring younger advisers, but some registered investment advisers aren't even doing that part right.
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Summary: Advisors now have a wide array of options for financial planning software, risk management and analytics platforms, asset allocation, rebalancing, digital marketing, CRM and cybersecurity tools — and it is leading to fatigue, technology executives acknowledge.
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Summary: A recent slowdown in the pace of reps leaving brokerage firms is seen as largely responsible for the sudden dip in merger and acquisition activity in the advisory space, according to the latest report from DeVoe & Co.
Added on November 2017 in M&A Issues
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Summary: Many firms facing increased overheads and infrastructure costs in the next few years are considering acquisition or merger strategies as a survival or growth strategy.
