Credit Suisse to Pay $196 Million to SEC Over Cross-Border Infractions
Credit Suisse relationship managers traveled to the U.S. to advise and solicit clients, collecting $82 million in fees, without registering with SEC.
Ins and Outs of Impact Investing: Madeira Global CEO Alfonso
CEO Christina Alfonso discusses Madeira's 4-step process for making impact investments.
New Hire Roundup: Legg Mason Names Hoops Head of Business Development
Also this week in personnel announcements, the MSRB is seeking applications for its board of directors.
Ken Fisher Warns, Industry Responds: What Happens to RIAs in 10 Years?
Ken Fisher is bullish on 2014’s market and economy but decidedly bearish on the future of RIAs.
The State of Fiduciary After 1,640 Days: Time for a Reset?
Fiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
5 Big Regulatory Changes Coming in 2014
Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
SEC Proxy Advisory Roundtable to Discuss Conflicts of Interest, Competition
Former SEC Chairman Harvey Pitt will be among the panelists at SEC's Dec. 5 proxy advisory firm roundtable.
Is Investor Confusion Really Harmless?
An SEC panel raises the issue of harm caused by investor confusion over the difference between a fiduciary and a suitability standard.
SEC Investor Advisory Committee to Vote Friday on Fiduciary Plan
SIFMA director Kevin Carroll says some of the recommendations of Barbara Roper's investor committee are "incongruous" with Dodd-Frank's intent.
TIAA-CREF to Boost Advisor Headcount by 45%
Recruiting from banks, IBDs and wirehouses, TIAA-CREF has added nearly 200 advisors since the start of 2012 and wants to add 200 more.