Wealth Management

FSI NewsBrief

News for independent broker-dealers and financial advisors

FSI NewsBrief

Published in partnership with: Financial Services Institute

Advisor learned about succession planning from father

7/27/2014

  • InvestmentNews (free registration)

Todd Clarke spent many years with his father and garnered many lessons before the elder advisor died. One big lesson is the importance of succession planning. Read More

NAIFA SmartBrief

Insurance News

NAIFA SmartBrief

Published in partnership with: National Association of Insurance and Financial Advisors

SEC recommends shorter, easier-to-understand prospectuses

7/28/2014

  • Investment Advisor

Mutual fund guidance from the Securities and Exchange Commission says registrants should provide three- to four-page summary disclosures that are written in "plain English." Advisers will have to wait… Read More

Financial Planning Digest

The latest news for CPA personal financial planners

Financial Planning Digest

Published in partnership with: American Institute of CPAs

Advisers should warn clients about fraud risks

7/24/2014

  • Financial Advisor online

Steven Crosby, global private banking and wealth management leader for the Americas for PwC, says advisers should warn clients about the risk of fraud before they are victimized. CPAs are well-placed … Read More

Retirement Security SmartBrief

A publication for individual investors

Retirement Security SmartBrief

Divorced clients must make their own call for spouse benefit info

7/25/2014

  • InvestmentNews (free registration)

Divorced people who are working with a financial adviser to structure a retirement plan will have to do their own legwork when it comes to getting information about what they're due in Social Security… Read More

NASBP SmartBrief

News for surety-bond professionals

NASBP SmartBrief

Published in partnership with: National Association of Surety Bond Producers

Commentary: How contractors can evaluate, expand bonding capacity

7/24/2014

  • New Hampshire Business Review

Construction companies and contractors need to examine their bonding capacity, which determines the number and size of jobs they can undertake, according to a certified public accountant. Best practic… Read More

FPA SmartBrief

News and information for financial planners

FPA SmartBrief

Published in partnership with: Financial Planning Association

Commentary: Applying the suitability standard to other professions

7/25/2014

  • ThinkAdvisor

Opponents of a fiduciary standard for brokers, including Rep. James Lankford, R-Okla., cite lower client costs as an argument for keeping the suitability standard. Bob Clark, editor-at-large for Inves… Read More

IMCA Insight

News and information about investment management consulting

IMCA Insight

Published in partnership with: Investment Management Consultants Association

Estate planning with digital assets in mind

7/21/2014

  • InvestmentNews (free registration)

This article discusses how financial advisors can protect clients' digital assets. The process starts with an inventory of digital assets and an assessment of the terms of service for each online serv… Read More

IPA Newsbrief, powered by SmartBrief

The best stories about investment through education

IPA Newsbrief, powered by SmartBrief

Published in partnership with: Investment Program Association

SEC mulls changes to accredited investor definition

7/23/2014

  • Wall Street Journal (tiered subscription model), The

The Securities and Exchange Commission, as required by Dodd-Frank, is taking a look at possible changes to the criteria to be considered an accredited investor. The agency is not likely to make perman… Read More

IRI Retirement Income SmartBrief

Retirement income industry news

IRI Retirement Income SmartBrief

Published in partnership with: Insured Retirement Institute

Barclays challenges regulator's lawsuit

7/28/2014

  • InsuranceNewsNet online

Barclays Capital and Barclays PLC have asked a judge to dismiss a lawsuit by New York Attorney General Eric Schneiderman accusing them of deceiving clients in connection with their dark pool. Some hav… Read More

Insured Retirement Institute SmartBrief

Insured retirement income industry news

Insured Retirement Institute SmartBrief

Published in partnership with: Insured Retirement Institute

Opinion: Longevity insurance in retirement plans is a great idea

7/21/2014

  • InvestmentNews (free registration)

Given the new Treasury Department rule on longevity insurance, advisors should recommend that their clients hold the products within their retirement accounts, writes Robert Gordon, CEO of Twenty-Firs… Read More

NVCA SmartBrief

News for the startup ecosystem

NVCA SmartBrief

Published in partnership with: National Venture Capital Association

Opinion: Overregulation stymies health care innovation

7/28/2014

  • Wall Street Journal (tiered subscription model), The

Entrepreneur Kevin Tracey argues that "rampant misalignment of incentives is hampering technology in the U.S. health industry." He writes that patients don't necessarily benefit from rules designed to… Read More