SEC's Bowden: Ethical Standards More Important Than Policy, Procedures
Advisory firms striving for compliance “can’t be effective by merely having policy and procedures, even if tested,” the exam chief said.
15 of the Weirdest & Craziest Cases in Health Insurance Fraud
Take a look at some of the costliest, creepiest and even dangerous to the public health insurance fraud cases.
New Hire Roundup: ABIA Elects New Board Members
This week, the American Bankers Insurance Association elected new board members, and Deutsche Asset & Wealth Management hired four regional VPs.
Experimenting With New Compensation Models
The variety of fee structures is growing, as advisors fine-tune offerings for a changing client base.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
20 Best & Worst Tax States
Conservatives and liberals generally agree on what a “fair” state and local tax system looks like, but no state actually has such a system.
Frustrated States Push to Fill Small-Business Retirement Gap
Seventeen states are at some stage of legislating state-administered plans that hope to deliver retirement plan access to small employers.
15 Worst Cities for Retirees
Looking for a place to retire? Put these cities at the bottom of your list, WalletHub says.
9 Worst States for 401(k) Plans
While any company can design a better plan no matter the state it's in, the trends are nonetheless telling.
Collaborative Divorce: A Win-Win Dissolution
Remember Kramer vs. Kramer? The War of the Roses? A newer divorce process is much kinder to clients and their finances.