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July 12, 2019
How Firms Under Investigation Can Sometimes Avoid Harsher Sanctions
Letters of acceptance, waivers and consent will include a section called Credit for Extraordinary Cooperation.
Judge Grants Morgan Stanley’s TRO Request for Ex-Broker Who Went to UBS
The advisor is being pursued in connection with an agreement over a retired advisor's business.
These New Tax Break Funds For the Rich Are Having Trouble Finding Investors
The regulatory regime lacks clarity and it's scaring people off.
Kestra Adds $206 Million Practice
Merkel Financial offers wealth management and estate planning services with a focus on women.
House Lawmakers Tell SEC to Work with State Regulators
A bipartisan resolution also urges state regulators to work within the framework of the North American Securities Administrators Association.
Regulation Doesn't Trump Fiduciary Standard, Reg BI Author Insists
Dalia Blass, director of the SEC Division of Investment Management, says investment advisors must still mitigate or eliminate conflicts.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|