FINRA puts forward new anti-elder fraud proposal
Intense Life Desires FINRA has proposed rule changes aimed at combating investment scams — particularly against senior citizens...
Expense Tracking
£12.7m takeover of WH Ireland moves step closer
WH Ireland website The takeover of troubled Financial Planner and wealth manager WH Ireland by...
Wells Fargo, Merrill, Cerity ink large recruiting, M&A deals
Wells Fargo leads off our first weekly summary of recruiting moves and mergers and acquisitions...
Mixed welcome for latest pension value consultation
Pensions value will come more into focus in future under regulatory plans Industry experts have...
SEC proposes new ‘small firm’ definition
The SEC is looking to reclassify more advisory firms as “small entities” in an attempt...
Fund inflows hit six-month high of £530m
Miranda Seath, director of market insight and fund selectors at the Investment Association Investors put...
Vanguard studies financial advisor peace of mind
The phrase “peace of mind” has appeared in so many commercials its meaning may be...
Pension schemes must explain their value to 16m savers
FCA deputy CEO Sarah Pritchard Regulators are to require DC pension schemes to publish “clear data”...
How spot bitcoin ETFs miss out on major tax alpha
Traditional investors have long viewed the approval of spot bitcoin ETFs as a kind of...
HSBC turns to Citi for HNW advice arm CEO
Isa Liu HSBC has appointed Ida Liu as CEO of HSBC Private Bank. She joined...