5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
Financial Engines Lawsuit Could Spark Other Robo-Advisor Suits
Financial institutions that offer computer-based advice, or are considering it, should pay close attention to the Financial Engines case.
Hedge Fund Winners and Losers in First Half
Hedge fund strategies come in and out of favor as the economic environment evolves. Here are the chart-toppers, and flops, for 2014 so far.
SEC Floats Two-Pronged Money Fund Reform Plan
SEC Chairwoman Mary Jo White said Wednesday that the two reforms could be adopted separately or combined into a single reform package.
Fate of Dodd-Frank Likely Rests in Election Results
With the two-year anniversary of the passage of the Dodd-Frank Act on July 21, industry officials are weighing in on the law’s progress.
House to Hammer Dodd-Frank Throughout July
July 21 marks the second anniversary of the Dodd-Frank Wall Street Reform and Consumer Protection Act being written into law, and the House Financial Services Committee is planning to challenge its merits all month long.
Carlyle Group Buys Minority Stake in Avalon Advisors
The Carlyle Group, one of the world’s largest private equity firms, has made a minority investment in Avalon Advisors, a Houston-based wealth advisor and asset manager with nearly $4 billion in assets under management.