The Financial Services Compensation Scheme has declared four more firms in default, two with links to the British Steel Pension Scheme (BSPS). The four firms have a collective 267 claims against them. On Friday it listed Sutton Coldfield-based RSS&L, Bromsgrove-based FP Consulting, London-based Optimise Wealth Management and London-based Northern Provident Investments in default. The move […]
Archives for 2023
CFP Misconduct Research (And The Challenge Of Counting How Many Financial Advisors There Really Are)
Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. Advisors who attain the CFP marks are held to even higher standards, though, with all CFP certificants required to adopt CFP Board’s own more-stringent Code of Ethics and Standards of […]
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4 ways to inflation-proof your retirement
LPL pays almost $500K to settle ‘clearly erroneous’ complaints
Weekend Reading For Financial Planners (Feb 25-26)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the news that the SEC’s proposed “Safeguarding Rule” would significantly increase the number of investment advisers deemed to have custody of client assets and increase paperwork requirements for advisers and qualified custodians, though the contours of a final […]
Editor’s Comment: Stop-start retirement
There was a time when retirement was a line in the sand. You retired from your job, received a carriage clock from your employer and headed off into your sunset years with a decent pension and plans to play a bit more golf or do some DIY. Increasingly that’s no longer the case. Retirement is […]
Envestnet CEO praises firm’s long game strategy amid losses
Artemis revamps global equities team
Artemis has appointed Alex Stanic from JP Morgan Asset Management’s international equity group to a new position of head of global equities, as it revamps its global equities team. He will replace global equity fund manager Simon Edelsten who will retire from the firm. Mr Edelsten, who manages the Mid Wynd International Investment Trust and […]