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Keel Point says it will now manage $150 million in assets in Chattanooga, Tenn.
October 13 -
Despite assurances from industry regulator that it's shelved the campaign to take over advisor exams, some officials worry the RIA sector is "one crisis away" from a new and adverse regulatory regime.
October 13 -
The new recruits will work in the firm's philanthropic solutions office.
October 13 -
Private wealth will expand at a weaker pace through 2020 than previously forecast because the global economy isnt advancing as quickly as expected, according to Credit Suisse.
October 13 -
Santander is the latest firm to get hit with regulatory penalties related to the sale of Puerto Rican municipal bonds and close-end funds.
October 13 -
Commission signs off on FINRA's proposal to compel brokers to include a link to the database on their websites after abandoning some of the more contentious aspects of the rule.
October 13 -
The rep was ejected for failing to cooperate with a FINRA investigation into allegations that she stole money from a retail bank customer.
October 13 -
Tax planning will increasingly become an operational risk for asset managers, according to new research report by PwC, a risk spurred by operational and compliance demands.
October 13 -
BlackRock is rolling out its first impact-labeled U.S. mutual fund. In the nascent world of impact investing -- backing profitable companies trying to produce social and environmental good -- it is a milestone.
October 13 -
Savvy moves in the fourth quarter can help clients owe less to the IRS next April.
October 13
