Smarsh Buys AI Firm to Help RIAs, BDs Spot Risks
By Jeff BermanThe combined company will also help advisors and their firms uncover strategic insights from large volumes of data in real time.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 10, 2020
NAIFA's New York Chapter Teams With New York Life Insurer GroupNAIFA-New York and LICONY plan to team up on communications and grassroots advocacy efforts.
November 10, 2020
Bipartisan Bill Could Cut Medicare Part B Enrollment KnotsH.R. 2477 and its companion, S. 1280, would help people who fail to sign up during the initial enrollment period.
November 09, 2020
Tom Campbell to Lead the American Academy of ActuariesHe could play a role in shoring up private pensions, Medicare and Social Security.
November 09, 2020
Goldman Sachs Merges 5 Thematic ETFsThe Goldman Sachs Innovate ETF (GINN) started trading on Monday, Nov. 9.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."
November 09, 2020
Biden Vows to Extend Jobless Aid, Names Economic TeamWill Biden name Sen. Elizabeth Warren his Treasury secretary? Strategist Greg Valliere speculates.