There’s pressure on advisors’ AUM at some firms, which is impacting their compensation negatively and also often affecting advisors’ views of their dealers
The groups are aiming to develop a mechanism to help firms and advisors protect clients who may be victims of elder abuse or with diminished mental capacity
Many firms have reassessed their strategies following the global financial crisis
After-tax profit for NYSE members rose to almost US$4 billion
Certain regulations may require a public hearing process to be changed, but steps are being taken to ensure their effectiveness is eroded
As a result, any claim for disgorgement in an SEC enforcement action must be commenced within five years of the date the claim accrued
TD Direct Investing to be merged with Interactive Investor
Brexit seen as a significant negative for U.K. investment
U.S. Life insurers unchanged
Although some countries have banned embedded commissions or adopted a best interest standard, most have just sought to enhance disclosure