FINRA Hits Morgan Stanley With $10M Fine Over AML Failures
By Melanie WaddellThe broker-dealer's anti-money laundering efforts did not meet Bank Secrecy Act requirements in three areas between 2011 and 2015.
December 24, 2018
Emerging Markets Expected to Outperform in 2019 (for Real This Time)Growth in 2018 was slower than expected, but many EM countries are set up for a longer-term expansion, analysts say.
December 24, 2018
Expect Big Changes to Retirement, Fiduciary Rules in 2019Other regulatory priorities are expected to include cybersecurity, new advertising and cash solicitation rules by the SEC.
December 24, 2018
5 New Questions About How the Annuity Market Will Weather 2019Why buy products with guarantees? Maybe the end of 2018 will show prospects why....
December 24, 2018
IRS Eases ACA Individual Penalty Exemption Process for 2018The notice will free people from having to apply to ACA public exchange programs to get hardship exemptions.
December 24, 2018
Life and Health Stock Prices Drop With Rest of MarketOne S&P life and health index is down 1.84% for today, and 4.95% for the past five days.
December 24, 2018
Follow the Money in 2019: CerulliEurope promises to be a hot market for ETFs and ESG investments in 2019, according to a Cerulli report.
December 24, 2018
5 New Questions About Life and Annuity Deals in 2019Dealmakers want to buy low.... Will they actually have the capacity to buy low?