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Fiserv Launches Client Engagement Platfo…

Fiserv has launched Grapevine6, which allows advisors to deliver relevant articles and other content to clients through the company’s Wealth Management Network. So reports CU Insight.

Prudential Annuities Distributors Fined …

Prudential Annuities Distributors has been fined $950,000 after missing numerous “red flags” that pointed to an LPL advisors’ theft of a client’s assets. The theft involved forging 114 wire requests...

UN-Supported SRI Group to Boot Non-compl…

The Principals for Responsible Investment, which is a United Nations-supported organization that consists of asset managers who are committed to responsible investing, is preparing to cast out firms that aren’t...

Latest News

The Securities and Exchange Commission has frozen the assets of investment advisor Ash Narayan, who is accused of swindling $30 million from Denver Broncos quarterback Mark Sanchez, San Francisco Giants Pitcher Jake Peavy, and Colorado Rockies pitcher Roy Oswalt. So reports Complex.

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Fiserv has launched Grapevine6, which allows advisors to deliver relevant articles and other content to clients through the company’s Wealth Management Network. So reports CU Insight.

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A group of industry organizations has filed litigation seeking to kill the Department of Labor’s fiduciary rule after efforts by the House of Representatives last month fell short of accomplishing the same goal. So reports CNBC.

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Prudential Annuities Distributors has been fined $950,000 after missing numerous “red flags” that pointed to an LPL advisors’ theft of a client’s assets. The theft involved forging 114 wire requests. So reports Financial Planning.

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Financial advisors often promote their services by saying that they can help remove emotions from investing.

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Practice Management

Risky Behavior Creates Opportunities for…

Many investors make decisions based on either fear or greed.

Technology & Communications

Key Considerations for Advisors Consider…

For financial advisory firms, implementing customer relationship management technology can be a high stakes and dicey undertaking.

Regulatory & Compliance

Broncos’ Quarterback, Other Athletes Vic…

The Securities and Exchange Commission has frozen the assets of investment advisor Ash Narayan, who is accused of swindling $30 million from Denver Broncos quarterback Mark Sanchez, San Francisco Giants...

Markets & Investments

Pity the Poor Mutual Fund

The trend of mutual fund assets growing an average of 13% annually since 1965 hit a speed bump last year, with assets dropping 1.4%, according to the Investment Company Institute.

Retirement

Some Parents Prioritizing College Saving…

In a recent survey by HSBC Group, 37% of parents said saving for their children’s education is more important than saving toward retirement. So reports Plan Sponsor.

News Roundup

Fiserv Launches Client Engagement Platfo…

Fiserv has launched Grapevine6, which allows advisors to deliver relevant articles and other content to clients through the company’s Wealth Management Network. So reports CU Insight.

People

Brexit, Market Jitters Create Opportunit…

Financial advisors often promote their services by saying that they can help remove emotions from investing.

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