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‘Equi-vest’ account statements sent to a million public school teachers and other 403(b) and 457(b) clients were missing nearly all of the expenses, the regulator says.

Jill Klindt is CFO, senior vice president, treasurer and chief accounting officer at Workiva. Her career spans more than 20 years with experience in financial management and business leadership.

Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.

Amy Kadomatsu is CEO of ComplySci, a provider of regulatory technology and compliance for financial services enterprises.

A new breed of people is undoubtedly emerging and exploiting modern technology in ways that defy our most basic assumptions about the relationship between work and physical place.

The BNY Mellon subsidiary and another of the megabank’s units are collaborating on a new retirement tool for six million plan participants.

New research shows that higher-priced strategies can come with lower returns and greater risk — an urgent reason for advisors and investors to monitor the space.

In the latest sign of big wealth managers displaying some flexibility, Marty Bicknell’s team unveiled another collaboration with a firm often considered a rival.

Shea Keats is CEO of Breakaway Bookkeeping + Advising, a virtual network of bookkeepers and advisors. She has more than 15 years of business strategy. Before starting her own small business consultancy, she worked as the director of brands at Kinder Modern, a furniture and design firm in New York City.

The strategy is widely promoted, but it can leave some investors worse off.