Supreme Court Sides With Retirement Planning Advisor
By Allison BellThe case, which was decided on procedural grounds, shows that recommending asset-allocation strategies can be tricky.
June 22, 2018
Treasury Official Calls for a New Regulatory Approach for FintechCraig Phillips told a SIFMA conference that this new approach would permit "experimentation for services and processes."
June 22, 2018
FINRA Bars Ex-LPL Rep for Taking Client Money to Pay Her Taxes: EnforcementIn other enforcement actions, the CFTC ordered JPMorgan Chase Bank to pay a $65 million penalty.
June 22, 2018
Federal Judge Strikes Down CFPB StructureThe decision is throwing uncertainty into the agency's future.
June 21, 2018
Guggenheim Said to Weigh Sale of Stake in $250 Billion ManagerScott Minerd says insurers get the best results when they buy minority stakes in asset managers.
June 21, 2018
South Africa Proposes Major Changes to Health Care SystemOne provision could ban the use of insurance brokers.
June 21, 2018
SEC's Clayton: Comment Period on Advice Standards May Be ExtendedHouse lawmakers questioned Clayton about the SEC's proposed best-interest rules.
June 21, 2018
Indexed Annuities Star in 5th Circuit DOL Fiduciary Rule OpinionThe ruling has (probably) killed the rule dead.