Equifax CEO Smith Resigns After Uproar Over Hack
CEO Richard Smith joines other senior managers who left the credit reporting company after the massive data theft.
Hearsay Partners With Microsoft on Client Relationship Platform
Microsoft Dynamics 365 will complement Hearsay's financial industry-specific workflows, data and compliance capabilities
Senators Ask SEC Chief to Mull Further Cyber Rules After EDGAR Hack
Clayton plans to testify that he's "deeply concerned" about the breach and to lay out for lawmakers what an SEC fiduciary rule should look like.
FINRA Hits Morgan Stanley for $13M Over UIT Trades
Hundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
FINRA Fines Down 70% in First Half of 2017
These are the five biggest FINRA fine categories for the first half, according to Eversheds Sutherland.
Businesses Begin Filing Class Actions Against Equifax
Consumers aren’t the only ones suing over the Equifax data breach.
State-Registered Advisors Need More Cyber Prep
State securities exams found nearly 700 deficiencies involving cybersecurity, NASAA says; the group offers a cybersecurity checklist.
Envestnet | PMC Unveils Gender-Focused Impact Strategy: Portfolio Products
In addition, AlphaCore launched a new fund to make statistical arbitrage readily accessible to the public.
Andy Friedman: Left, Right and Center Slug It Out on Health Care
GOP Graham-Cassidy bill comes up for a vote next week, while Bernie Sanders' single payer concept stands "no chance," Friedman says.
Fi360 Updates Fiduciary Focus Toolkit
Fi360 recently announced that it is updating its Fiduciary Focus Toolkit with new reporting capabilities for financial advisors.