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Lincoln Investment to Buy The Legend Gro…

Lincoln Investment Capital Holdings , which has backing from private equity firm Lovell Minnick Partners, plans to acquire independent broker-dealer and RIA The Legend Group Holdings. So reports PEHub.

Financial Services Institute Opposes Dis…

The Financial Services Institute, which represents financial service providers, has written to the Securities and Exchange Commission to oppose a proposed rule that would strengthen disaster planning requirements. So reports...

Current Court Case Could Be the End of L…

Litigation by a husband and wife financial planning team could be the last legal action taken against the CFP board with the organization having passed a mandatory arbitration requirement. So...

Latest News

Lincoln Investment Capital Holdings , which has backing from private equity firm Lovell Minnick Partners, plans to acquire independent broker-dealer and RIA The Legend Group Holdings. So reports PEHub.

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The Financial Services Institute, which represents financial service providers, has written to the Securities and Exchange Commission to oppose a proposed rule that would strengthen disaster planning requirements. So reports InsuranceNewsNet.

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Litigation by a husband and wife financial planning team could be the last legal action taken against the CFP board with the organization having passed a mandatory arbitration requirement. So reports Financial Planning.

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Registered investment advisors with high-risk employees, such as those individuals who have faced disciplinary actions or have been barred from a broker-dealer, will face increased regulatory scrutiny, according to guidance recently released from the Securities and Exchange Commission. So reports CNBC.

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This summer’s vote by the United Kingdom electorate to leave the European Union sent a shockwave through capital markets, with investors fearing that the action could lead to a reduction in investments in the country’s corporations, cumbersome trading restrictions, and further moderation of economic growth.

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Practice Management

Risky Behavior Creates Opportunities for…

Many investors make decisions based on either fear or greed.

Technology & Communications

Cyber Security is a High Stakes Matter

Concerns over data security continue to escalate as reports about highly visible cyber breaches pepper the news media. For financial advisors, cyber breaches can be high stakes blunders that can...

Regulatory & Compliance

SEC to Scrutinize RIAs with Troubled Emp…

Registered investment advisors with high-risk employees, such as those individuals who have faced disciplinary actions or have been barred from a broker-dealer, will face increased regulatory scrutiny, according to guidance...

Markets & Investments

Growing Uncertainty Over Europe Presents…

This summer’s vote by the United Kingdom electorate to leave the European Union sent a shockwave through capital markets, with investors fearing that the action could lead to a reduction...

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

Lincoln Investment to Buy The Legend Gro…

Lincoln Investment Capital Holdings , which has backing from private equity firm Lovell Minnick Partners, plans to acquire independent broker-dealer and RIA The Legend Group Holdings. So reports PEHub.

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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