Client, 1; Wells Fargo, 0: Wirehouse Loses in Nevada Fiduciary Case
By Janet LevauxAn investor cites the state's recent fiduciary rule in her complaint before FINRA — and the ruling goes her way.
September 06, 2019
RIA in a Box's MyRIACompliance Software Integrates With Cloud-Based DocupaceWealth management firms using MyRIACompliance software can now access the Docupace platform also via single sign-on.
September 06, 2019
Global Institutions Are Slow Adopters of ESG: StudyConsultant CoreData found that most of these firms' ESG adoption is limited to negative and positive screens.
September 06, 2019
J.P. Morgan Launches 'Price Smart' 401(k) Digital Pricing SolutionThe new solution enhances the company's Retirement Link defined contribution plan offering.
September 06, 2019
IRS Offers Relief to Ex-Citizens Who Owe TaxesThe relief is only extended to some expatriated individuals, not estates, trusts or corporations.
September 06, 2019
Prudential Spends $2.35 Billion to Make Financial Wellness Boost GrowthCharles Lowrey, Prudential's CEO, says the Assurance IQ deal will help connect Pru with more people.
September 06, 2019
Broadridge Hunts Big Clients for Its New Wealth PlatformAfter teaming with UBS, Broadridge sees top 20 firms as "in play" to be future clients, its CFO says.
September 06, 2019
Global Life Reinsurance Premiums Are Growing: Moody'sLife and annuity reinsurance accounts for only about one-third of the reinsurance market.