Most State-Registered Advisors Have Tech, Cybersecurity Policies: NASAA
Though less than 5% of small and midsize firms said they had a cybersecurity incident, two-thirds said they had cybersecurity policies in place.
ERISA’s Midlife Crisis
On ERISA's 40th birthday, a growing chorus of voices say the landmark retirement income security law needs an overhaul.
New Hire Roundup: SEC Names Schnurr Chief Accountant
In another personnel move, Nancy Rimington joined GW&K Investment Management.
Wells Fargo, U.S. Trust, Raymond James Add Teams From Rivals
Plus, a wealth group of five advisors affilates with LPL Financial in Wisconsin.
Mariner Names New Investment Strategist, Wealth CIO
William Greiner has been elevated to chief investment strategist of Mariner Holdings, and Mark Caplinger has joined Mariner Wealth Advisors as CIO.
American Century Hires Former Goldman Exec as Global Products Chief
The Kansas City, Missouri-based fund family taps Glen Casey to expand products and sales.
MetLife SIFI Designation Imminent
In designating MetLife at this time, the FSOC would be ignoring the House Financial Services Committee.
SEC Enforcement: Missouri Firm Slapped for Fiduciary Duty Breach
Also, the SEC charged five traders with short selling and a school district with misleading bond investors.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.
New Hire Roundup: Janus Capital Adds Scholes, Alankar
Also in new hires, the SEC announced that Thomas Krysa has been named associate regional director for enforcement in its Denver office.