SEC Nominee Crenshaw Details Reg BI Compliance Priorities
By Melanie WaddellFirms need to be held accountable when they fail to comply, Crenshaw said at her nomination hearing.
July 20, 2020
Pershing Taps Former Goldman Sachs Exec as COOEmily Schlosser replaces Jim Crowley as compliance chief a year after the former CCO was tapped to lead the BNY Mellon business.
July 20, 2020
What to Make of Schwab's Mixed Q2 ResultsEquity analysts weigh in on the company, its purchase of TD Ameritrade and more, ahead of its investor call.
July 20, 2020
TD Ameritrade's Dani Fava Has Left the FirmFava, head of RIA innovation efforts for the past four years, leaves ahead of Schwab's purchase of TD Ameritrade.
July 20, 2020
Dynasty Adds $420M Morgan Stanley TeamShoreHaven Wealth Partners includes a father and son duo and others who serve a multi-generational client base.
July 20, 2020
AICPA Launches PPP Loan Forgiveness ToolThe platform automates the forgiveness process for small-business owners who received PPP funds.
July 20, 2020
Invest in Others Awards Finalists AnnouncedAwards will be presented digitally, one a day, from Sept. 21 to 25.
July 17, 2020
3 Simple Ways to Sharpen Your Online PresenceA few minor changes can dramatically improve the way you appear to clients and colleagues.