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According to an SEI poll, 44% of wealth managers said dealing with ongoing and ever-evolving regulatory changes will be their firms top priority this year.
July 24 -
Matrix Financial Solutions refreshes its RetireTool(k)it to better support regulatory compliance and simplify the selection and monitoring of funds.
July 24 -
U.S. senators Jack Reed and Charles Grassley introduced a bill to authorize the Securities and Exchange Commission to impose bigger sanctions after the agency said it didnt have adequate tools to deter financial fraud.
July 24 -
John Hancock Funds today unveiled a new program and a survey to help retirement plan advisers demonstrate their value and build stronger relationships with their plan sponsor clients
July 24 -
Ill bet the amount of training an advisor receives on portfolio and client management over ten years could fill an ocean. Ill also wager the amount of training an advisor receives on managing staff couldnt even fill a thimble.
July 23
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On July 23, 2012, John Hancock Funds today unveiled a new program and a survey to help retirement plan advisers demonstrate their value and build stronger relationships with their plan sponsor clients.
July 23 -
The advocacy organization sent a letter of comment to the SEC citing the impact a fee hike could have on independent firms.
July 23 -
Phillip D. Murphy, a former manager of municipal derivatives products at Banc of America Securities LLC, now Bank of America Merrill Lynch, was indicted by a federal grand jury on three counts of conspiracy and wire fraud in connection with a fraudulent scheme to rig bids for municipal-bond related investment agreements.
July 23 -
United Technologies Company last month took the plunge into providing its employees a steady stream of retirement income.
July 20 -
TCW Funds, Inc. is liquidating the TCW Emerging Markets Equities Fund on August 31, according to a Securities and Exchange filing.
July 20
