SEC's First-Ever Chief Risk Officer Heads to Holland & Knight
By Bruce LoveThe firm is "committed to strengthening its broker-dealer and investment adviser legal advisory practice, so I was thrilled with this opportunity," said Gabriel Benincasa.
October 14, 2021
SEC to Require More Admissions of WrongdoingFirms who admit wrongdoing send a signal to others to stamp out misconduct, the SEC says of reviving the Obama-era policy.
October 14, 2021
BofA Reports 64% Jump in Merrill, Private Bank Profits: Q3 EarningsMeanwhile, Morgan Stanley and Wells Fargo's wealth units report strong earnings and revenue growth, too.
October 14, 2021
Life and Health Insurers Might See Inflation: Q3 Earnings CalendarThis quarter, the question is whether that price bump is a harmless mole, or something more.
October 14, 2021
F&G Acquires Big Stake in Indexed Universal Life Distributor: DealsIntegrity Marketing has closed on three deals. Guardian, TailorMed and Global Atlantic also have news.
October 14, 2021
Ark's Cathie Wood: 7 Predictions for the Global Economy, MarketsHere's what the future-focused investor sees for oil prices, inflation and the spending battles in Washington.
October 14, 2021
Merrill Reports Positive Feedback on New MAX AppThe new mobile advisor experience was launched late last month after a pilot with a few hundred advisors.
October 14, 2021
New Pershing X Business Unit Launches: Tech RoundupAinslie Simmonds will lead the unit. Also, Carson onboards FeeX fintech retirement services for its financial advisors.