SEC Enforcement: HSBC to Pay $12M Over Cross-Border Breaches
Meanwhile, a CEO and the manager of a restaurant he frequented were fined for insider trading.
Securities America Wraps Up $2.5B Insurance Acquisition
The latest deal brings the IBD to more than 200 advisors and an OSJ that sells variable insurance products.
Compass Financial Boosts Education With Financial Finesse Partnership
Financial Finesse will offer its services at a discount to employees and consult on Compass' in-house financial education program.
TD Ameritrade Fee Rebates: A Win or a Loss for Investors, Advisors?
Industry experts Lou Harvey and Michael Kitces weigh in on TD and Schwab's moves to support model portfolios.
Employers Need More Education on Benefits of Financial Wellness for Workers
Employers could be doing more to help their employees’ allay financial stress, a survey of business owners and professionals found.
New Hire Roundup: Convergent Wealth Advisors Welcomes Curran
Also, SEC named two to its Office of Municipal Securities, and Pensionmark Retirement Group welcomed Erik Swenson's firm as a partner.
New Hire Roundup: Charlson to Head Morningstar Alternative Funds Research
Meanwhile, the American Benefits Council names new board members and officers, and CFPB adds experts to senior posts.
Are You Vulnerable to the Robo-Advisor Threat?
If you don’t systematize the investment process, and thus make effective rebalancing possible, you’re in trouble.
Cash for Clients: How to Stay Compliant When Paying for Referrals
Here's why you should make Investment Advisers Act Rule 206(4)-3 your new best friend (and don't forget to comply with state laws, too).
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.