-
Two members of the SEC blasted the agency's decision to spare Oppenheimer Holdings from additional sanctions related to a recent settlement, saying regulators were turning a "blind eye" to the investment bank's pattern of misconduct.
February 5
-
A proposed cap would impose a $3.4 million ceiling on retirement plans, although details are still scarce; Plus, mortgage debt threatens boomers' retirement.
February 5 -
President Obama's 2016 budget tax proposals would raise taxes on the wealthy and multinational corporations stashing profits offshore, while promising middle-class tax cuts.
February 5 -
UBS Group is being investigated by the U.S. over whether it helped Americans evade taxes by improperly using securities that let owners conceal their identity, three people familiar with the matter said.
February 5
-
Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.
February 4 -
Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.
February 4
-
"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.
February 4 -
Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.
February 4
-
A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.
February 4 -
The SEC has promoted former deputy director David Grim as acting director of its division of investment management.
February 4 -
Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation
February 4 -
According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.
February 3 -
The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Paul Reilly describes a recent leaked White House memo supporting the DOL's efforts as "an example of biased and distorted research [that] impugns the integrity of the work our advisors do every day."
February 3 -
Pimco's biggest mutual fund suffered about $11.6 billion in withdrawals in January, the 21st straight month of redemptions at the strategy once managed by bond manager Bill Gross.
February 3 -
The $4 trillion budget President Barack Obama sent Congress would raise taxes on the nations top earners and increase spending for domestic programs including an expansion of Social Security benefits for same-sex couples.
February 3 -
Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.
February 3 -
Here are a few of the hard-fought mistakes planners say they've made, and the ensuing lessons they've learned.
February 3
-
President Barack Obama sent a $4 trillion budget blueprint to Congress that would raise taxes on corporations and the nations top earners, fund major investments in infrastructure and education and stabilize, but not eliminate, the annual U.S. budget deficit.
February 3 -
With gas prices declining, clients should rebalance and consider adding energy stocks to their portfolio as a way to buy low and increase stability to their portfolio.
February 3
