SEC Risk Alert Highlights Transfer Agent Snafus
By Melanie WaddellOCIE exams of transfer agents that also served as paying agents found significant deficiencies.
February 13, 2019
New Sun Life Unit to Market Stop-Loss Through Health PlansFullscopeRMS will also help carriers offer life insurance, voluntary benefits and absence management programs.
February 13, 2019
Guardian Donates $400,000 to Volunteer Dental Services ProviderThe grant will help 15,000 dentist volunteer provide care for people without dental insurance.
February 13, 2019
Lifetime Income Group Sponsors the Rolling Stones' U.S. TourThe Alliance for Lifetime Income will be the sole sponsor.
February 13, 2019
TD Ameritrade Upgrades Veo One, AdvisorClient; Presents Tech AwardsAt LINC conference, the custodian enhances advisor, end-client platforms while funding new third-party tech.
February 13, 2019
Why a Cannabis-Focused Investment Manager Likes These 10 CompaniesTodd Harrison of CB1 Capital said he viewed cannabis as "disruptive health care" and outlined 10 of the firm's current positions.
February 13, 2019
Joe Montana Dishes on Investing and His NFL DaysThe Hall of Fame quarterback shared inside stories on teamwork, leadership, hard work and this year's Super Bowl at the Inside ETFs conference.
February 13, 2019
Joe Duran: 4 Ways to Show Clients You're 'Worth It'The head of United Capital tells advisors to take a lesson from premium brands: "Price is fact. Value is perception."