SEC Enforcement: Former Polycom Owner Faked Expense Reports
Meanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
Riskalyze’s Klein: ‘We Can’t Out-Robo the Robo-Advisors’
Riskalyze CEO Aaron Klein discusses what he says is a better way for advisors to stay competitive.
In a Tech Merger, Don't Panic
The first quarter of 2015 was busy for technology companies that serve advisors, as many were acquired or sold a significant portion of their company.
Investor Sentiment Hits New Peak in Q1: John Hancock Survey
Most investors believe now is a “good” or “very good” time to invest, according to John Hancock's quarterly survey.
Top Portfolio Products: Nasdaq to Launch Energy Futures Market
SunGard introduces managed investment solution; Envestnet rolls out online education.
Hearsay Social Names CFO
William Salisbury, Hearsay's first CFO, has worked for Morgan Stanley, Avast Software and other firms.
Top Portfolio Products: Vanguard to Launch Alt Fund
The fund giant plans to add the new fund into its popular managed-payout product.
Fidelity, Schwab Custodial Platforms Take Center Stage as T3 Kicks Off
Fidelity Institutional unveiled its new WealthCentral Technology bundle for breakaway advisors, and Schwab added Redtail CRM and an Orion service to its OpenView Gateway.
Enforcement Roundup: Ex-CCO Sues Over ‘Defamatory’ Form U5
In another action, the SEC charged five offshore entities with offering and selling unregistered penny stocks.
PE Firm TA Associates Acquires Majority Stake in NorthStar Financial
Management of CLS Investments, Gemini and Orion will remain, looking to complement organic growth with the private equity firm's capital and expertise in acquisitions.