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May 21, 2019
Market Questions Morgan Stanley's Pre-IPO Uber Stock Placements for FAs
One recruiter asks if the wirehouse had trouble filling out that round of funding.
Deutsche Bank Reportedly Turned a Blind Eye to Private Bank’s Dealings with Trump
Current and former employees say compliance staff raised red flags that were ignored.
Rumors Build of Imminent Reg BI Release, Here's What Broker-Dealers Want
Number one on BD Frims’ checklist: to confirm the new rule doesn’t contain the word fiduciary.
Special Report: The Powerful New Force Tipping the Scales Towards Asian Investment
To tap into Asia’s new opportunities, U.S. investors must consider the transformational power of the Asian consumer.
Harvard Offers Financial Literacy Training
The workshops included discussions on preparing tax documents for domestic help.
TIAA Changes Advisors’ Sales Materials Following Allegations of Improper Practices
Burt CEO Roger Ferguson tells Barron’s that an internal probe found no systemic problems.
Almost Half of Wealth Management Clients Believe They’re Not Charged Fairly
The mistrust is due to a lack of transparency, according to EY.
Brokerage Exec Says SEC’s Regulation BI Could Limit Choice of Investments
The proposed regulation could cause brokerages to simply pull certain products off their platforms.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|