6 Companies With the Best Retirement Plans
These companies offer their employees a chance at a good retirement, in ways that range from pension plans to generous matching 401(k) contributions.
Top Portfolio Products: A Whiskey and Spirits ETF; Target Date App for DC Plans
WSKY invests in global companies that earn much or some of their revenue from the production of alcoholic beverages.
Enforcement: Firm Fined in ‘Fantasy Sports for Stocks’ Cellphone Game
In another action, Artis Capital Management and a senior research analyst settled SEC charges for failing to detect insider trading by an employee.
Recruiting Roundup: Ameriprise Adds UBS Rep, RBC Taps Complex Chief
Deutsche Bank Wealth Management expands executive team by hiring Credit Suisse managers; more.
Top Portfolio Products: Envestnet Launches DOL Compliance Solution
The platform enhancement is designed to help advisors comply with the new rule as part of a "seamless wealth management process."
SEC Enforcement: Insider Trading, Whistleblower Retaliation and More
Also, an investment advisor must pay a penalty for choosing an unqualified administrative assistant as CCO, and other recent actions.
Recruiting Roundup: LPL Affiliated Reps Jump to Focus Financial, Form $600M RIA
Meanwhile, the Harvest Group breaks away from UBS with about $300 million in assets; more
Top Portfolio Products: Actively Managed ETFs From TrimTabs, AdvisorShares, ProShares
The new ETFs target stocks with strong cash flow and high dividends, Korean equities, oil futures and a socially responsible money market equivalent.
SEC Enforcement: Merrill Lynch Fined for Mini-Flash Crashes
Also, Weatherford International, an oil services company, was fined for sneaky accounting practices.
Recruiting Roundup: Wells Fargo, Merrill Nab Morgan Stanley Reps
Meanwhile Deutsche Bank Wealth Management and MV Financial share news on their latest hires.