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August 6, 2018
Ken Fisher Slams SEC Attempt to Tighten Broker Regulation
The SEC has received more than 2,500 comments on its Regulation Best Interest proposal.
Wells Fargo’s WM Unit Poised for Major Reorganization
A memo to 36,000 employees says little about details but suggests changes at the middle- and back-office levels as well as in client-facing operations.
Warren Attacks SEC’s Regulation Best Interest
Massachusetts senator says SEC needs to impose the fiduciary standard on all financial professionals.
SEC Bars Ex-COO for Alleged Misuse of Client Funds
Former COO allegedly helped an investment advice firm set up a fund and raise investor money that they then lost in its entirety.
Fidelity Rolls Out Two Expense-Free Index Funds
The fund company also announced zero minimums to open accounts and other measures to attract advisors and investors.
Critics Weigh in on N.Y.’s Best-Interest Standard for Insurance
The rule would eventually drive up costs to consumers, critics say.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|