See the practice management strategies that wealth management professionals are using to help their clients.
For more practice management tips to help your business, check out our free weekly e-newsletter. Join today.
The annual tsunami of prognostications on how the stock market and the economy will perform in 2018 was beginning to slow. Then the stock market had a major hiccup and the punditry scrambled back to its soap boxes to give us another dose.
Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge problem for FINRA and therefore for investors,” says PIABA President Andrew Stoltmann.
SEC examiners will pay closer attention to the fees that retail investors are paying to advisors as well as the disclosure and calculation of those fees.
After the Dow Jones Industrial Average and the S&P 500 fell more than 4 percent in one trading session, many advisors said they were expecting a market correction and had prepared clients for it.