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Financial Advisor IQ
15 小时
Murky Future for DOL's Independent Contractor Rule
Lori Chavez-DeRemer, President-elect Donald Trump's pick to head the Department of Labor, is known to be pro-union and ...
Financial Advisor IQ
15 小时
Ex-SEC Commissioner Atkins May Return as Chair: Reports
Former Securities and Exchange Commission commissioner Paul Atkins has emerged as a top contender to replace Gary Gensler at ...
Financial Advisor IQ
15 小时
Ex-Broker Continued Fleecing Client After Expulsion: Regulator
The Washington State Department of Financial Institutions claims that Henry Duval managed to get a further $73,000 from a ...
Financial Advisor IQ
15 小时
Fidelity to Redirect RIA Client Cash to Lower Yielding Product
Fidelity is especially well positioned to avoid legal challenges against its sweep rate because FCash's 2.32% yield, which is ...
Financial Advisor IQ
5 天
Retention Bonuses, Tech Upgrades Key to Citi's Wealth Strategy
Citigroup embraced its wealth management business as a potentially major cash cow several years ago, but it's now resorting ...
Financial Advisor IQ
5 天
Fed Could Lift Wells' Asset Cap Next Year: Reports
Wells Fargo is wrapping up the process of regulatory requirements necessary for lifting a $1.95 trillion asset cap next year, ...
Financial Advisor IQ
6 天
Wirehouse Comp: Green Light for Top Producers, Yellow for Others
With UBS ' announcement of its 2025 compensation plan last week, all four wirehouses have now revealed their pay plans for ...
Financial Advisor IQ
5 天
RIAs Face 70K Staff Shortage in Coming Years: Schwab Execs
Three-quarters of firms have hired new talent each of the past five years — a rate that is not projected to slow down, Schwab ...
Financial Advisor IQ
6 天
Abu Dhabi's Mubadala Capital to Take CI Financial Private
The all-cash deal values Canadian asset manager CI Financial, including its U.S. wealth business, at nearly $8.7 billion.
Financial Advisor IQ
5 天
Summit Adds $420M in AUM Across 3 Firms
With its latest strategic investments, Summit Financial has now added 16 strategic partnerships this year. Summit Financial ...
Financial Advisor IQ
4 天
Wamco's Co-CIO Hit with Criminal, Regulatory Charges
The U.S. Attorney's Office charged Leech, who is currently on leave from the Franklin Resources subsidiary, with adviser fraud, securities fraud, commodity trading adviser fraud, commodities fraud, ...
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