Firm Latest to Add to Growing Number of U.K. Supermarkets
High expectations for U.K. fund supermarkets as a distribution channel appears to be driving much of the growth. By 2004, at least 25% of annual net new inflows to British authorized funds will go through fund supermarkets and could go as high as 35% to 40%, according to
'We already provide one of the largest fund supermarket offerings in the U.S. and the launch of the UK fund supermarket, coupled with our own
A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.
The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.
Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.
A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.
Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.
Research shows that many investors fear policy changes could hurt their retirements, but these concerns often go unspoken with financial advisors, creating a planning gap.
