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The technology startup continues to make U.S. inroads with its goal of enabling advisors to better deliver customized financial advice.

Lise Kruse is the commissioner of the North Dakota Department of Financial Institutions and chair of the Conference of State Bank Supervisors.

The chair and CEO of the M&T division considers herself a "builder-fixer" and has sought out new challenges and opportunities throughout her more than 30-year career.

UBS receives praise for diversification outside the U.S., particularly in Asia.

Jason Aster is managing director of KBA Lease Services. Prior to joining KBA, he practiced general corporate law and litigation in New York, representing major international banks and private lenders with a focus on real estate and structured finance.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

The legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.

Financial advisors and tax pros say the exemption poses a lot of complexity — and substantial savings. But it could go away at the end of next year.

Kara Snow is the Senior Regulatory Counsel at Covius Compliance