SEC's Blass to Become ICI's General Counsel
David Blass, chief counsel and associate director of the SEC's Division of Trading and Markets, will become the ICI's general counsel in September.
FINRA Enforcement: Goldman Fined $800,000 for Trade-Through Failures
In other actions, Morgan Stanley was fined $100,000 on private wealth management failures.
JPMorgan Investors Show Support for Dimon in Cancer Fight
JPMorgan Chase CEO Jamie Dimon will start treatment for throat cancer, raising new questions about succession plans at the biggest U.S. bank.
New Hire Roundup: BNY Mellon Announces Organizational Changes
Commonfund's president and CEO Verne Sedlacek will step down; Sarr to head ESG investing at Northern Trust Asset Management.
New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
New Hire Roundup: Curian Capital Names Czaicki CIO
Also, the SEC brought in Stephanie Avakian as deputy director of enforcement.
New Hire Roundup: AIG Advisor Group Names Couch EVP of National Sales
Also in new hires, Atlanta-based Wealth & Pension Services Group has hired James Larson II as head of its new office in South Florida.
The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.
Funds as SIFIs Would Be ‘Too Burdened to Succeed’: ICI Chief
“It would not take much of a "SIFI premium" to increase the fees of these funds significantly,” says ICI's Paul Schott Stevens.
10 Most Influential Advisors on Social Media: BrightScope
These advisors “are models of how to use social media to grow a successful advisory business and a personal brand in the marketplace,” says BrightScope.