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Wells Fargo's Charlie Scharf and Morgan Stanley's James Gorman recorded the biggest gains among the CEOs whose compensation has been disclosed so far.
February 13
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With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.
February 13
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The Financial Crimes Enforcement Network Tuesday proposed a rule to include investment advisors in the compliance regime under the Bank Secrecy Act, aiming to close regulatory gaps exploited by criminals.
February 13
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The largest independent brokerage will move 2,400 financial advisors from seven brokerages onto its platform during a lengthy conversion stretching into 2025.
February 13
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Pivoting from "this company will always be mine" to "I need to find a partner who can help me maintain continuity" is a necessary mindset shift for advisors making continuity plans.
February 13
Mercer Advisors -
The move brings the 28-year industry veteran from a firm where independent planners make up less than 5% of the advisory headcount to one where they are the majority.
February 12
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Bill Harris, the former CEO of Personal Capital, TurboTax and PayPal published a new edition of his "Investment Tax Guide" with the future of the industry in mind.
February 12
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The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12
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The market-making firm warns of costs and intrusions into investors' privacy.
February 12
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Understanding new retirement regulations and utilizing technology will help your firm grow.
February 12
