New York Regulators Impose $15 Million Fine Over Life Notice Problems
By Allison BellThe case involves a block of Aviva life policies acquired by one company and reinsured by another.
June 28, 2018
Young, Wealthy Americans Want to Leave a Socially Responsible LegacyHigh-net-worth investors are thinking more critically about how to deploy their assets, RBC says.
June 28, 2018
SEC Proposes Streamlined ETF Approval ProcessCurrent rules have created an "eclectic regulatory quilt" for ETFs, Commissioner Kara Stein says.
June 28, 2018
Expect More AI and Alternative Data in Future ResearchA new study finds that use of alternative data and artificial intelligence will change investment research going forward.
June 28, 2018
Coalition Asks RIAs to Tell SEC How They Differ From BrokersKnut Rostad, Michael Kitces, Geoffrey Brown and others are speaking out ahead of the Aug. 7 deadline for comments.
June 28, 2018
4 Top Election Result Implications for AgentsOne thing is certain: Oklahoma will be getting a new insurance commissioner.
June 28, 2018
Alex. Brown, Securities America & LPL Add Teams: Recruiting RoundupThe Raymond James unit brings on a group from J.P. Morgan Securities.
June 27, 2018
3 Ways Small Firms Can Hire SmarterWhile stiff competition for advisors favors larger firms, that doesn't mean smaller ones can't get the help they need.