Top Lying Myths Maria Hartwig, associate professor of psychology at the John Jay College of Criminal Justice in New York, says there is no relationship whatsoever between "giveaways," such as someone who won't look you in the eye, appears nervous, fidgets or contradicts himself, and not telling the truth.
Why Advisors Must Embrace Socially Responsible Investing Chat Reynders, chairman and CEO of Reynders, McVeigh Capital Management, an RIA with about $900 million in assets under management, speaks about why socially responsible investing is essential for advisors to better connect with younger generations, avoid liability and improve transparency with clients.
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Motif Investing has launched a platform for advisors to more quickly and efficiently rebalance client portfolios. The firm's founder Hardeep Walia talks about why this tool may help advisors connect with younger generations and succeed with intergenerational wealth transfers.
Working with UHNW clients requires more than solid investment management and estate planning, according to advisor Paul Pagnato, founder of the Pagnato-Karp Group. Here are some of the other critical planning areas that advisors need to pay attention to.
Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems. more »
In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief. more »
Thousands of Credit Suisse Groups U.S. clients still dont know whether tax authorities will learn their identities as prosecutors work to conclude a three- year probe of how the bank helped them evade taxes. more »
The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director. more »
Detroit agreed to pay $77.6 million to UBS and Bank of America's Merrill Lynch unit to end interest-rate swaps that have cost taxpayers more than $200 million since 2009, according to a court filing in the city's bankruptcy. more »
A $300 million settlement by JPMorgan Chase & Co. and insurers with homeowners who accused the bank of taking kickbacks in exchange for sticking them with overpriced insurance policies was approved by a judge. more »
U.S. regional banks see favorable growth prospects in Canada. Its limited number of banks seems to invite competition, and its regulatory and economic climates are considered more favorable than those in the U.S. more »