Wells Fargo 'Has Gone Above and Beyond,' CEO Sloan Tells Lawmakers
By Melanie WaddellHouse Financial Services Committee Chairwoman Maxine Waters said the bank is "too big to manage."
March 11, 2019
These 'Future Shocks' Could Shake Up Wealth ManagementToffler Associates CEO Maria Bothwell tells ThinkAdvisor about four major drivers of change advisors need to watch.
March 07, 2019
Advisor Exam Rate Likely to Drop in 2019: SECOCIE Deputy Director Dan Kahl told advisors Thursday to "take a look at your Reg SP" policies and procedures.
March 07, 2019
Let Reg BI 'Play Out': SEC's PeirceMeanwhile, NASAA tells Nevada its fiduciary plan doesn't violate federal securities laws.
March 07, 2019
ScratchWorks Names 5 Fintech Semi-FinalistsLast year's winners were InvestmentPOD, an automated investing platform, and Snappy Kraken, a marketing platform.
March 07, 2019
Raymond James Nabs Schwab Exec for RIA PostMeanwhile, the IBD also picked up a former LPL Financial client: Desert Financial Wealth Management.
March 07, 2019
Financial Services Leaders Fail to Consider Tech as a DisruptorLeaders worry far more about disruptive effects of compliance, cybersecurity, Vuealta survey finds.
March 06, 2019
Life, Retirement Industry Officials Wary of 'Patchwork' Annuity Sales StandardsThe head of a major life insurer group says, 'Fiduciary is not over.'