The Assets: Investment strategies
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April 23, 2019SEC Likely to Make Examples of Share Class Violators, Lawyers SayFollowing the end of its self-reporting amnesty, the regulator may also file charges against individuals, according to one firm.No Comments
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April 22, 2019Ex-Aegis FA Barred Over Alleged ChurningThe advisor allegedly made 535 trades in four clients’ accounts in less than two years.No Comments
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April 22, 2019Treasury Finally Gives Much-Anticipated Tax Shelter Guidance For Wealthy InvestorsRules are now clearer on how to use Opportunity Zone investments.No Comments
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April 18, 2019UBS Makes Exclusive List for New World Bank StandardThe list highlights early adopters of a new standard for impact investing.No Comments
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April 18, 2019Industry Lobbyists Sharpen Knives for N.J.’s Fiduciary RuleBut some RIAs say it’s about time the brokerage industry was held to a higher standard.No Comments
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April 17, 2019RBC Ordered to Pay Back $50,000+ for Broker’s Alleged ActionsFinra arbitration panel ruled RBC Capital Markets violated Finra rules and Florida state law after broker recommends risky oil and gas investments.No Comments
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April 17, 2019Finra Bars Broker Who Allegedly Engaged in Annuity SwitchesThe bar ultimately came from the FA withholding documents during Finra’s investigation and for cheating on continuing education.No Comments
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April 16, 2019FAs Need to Be More Engaging and Offer Actionable Advice, Survey FindsBut they could resort to social media to research how to make their advice more relevant to their clients.No Comments
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April 16, 2019New Jersey Unveils State Fiduciary ProposalFSI says the state should wait for the SEC’s Regulation Best Interest.No Comments
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April 15, 2019If You're Skeptical About ESG, You'll Love This DataNew data bolsters ESG skepticism, but fails to tell the whole story, fund managers claim.No Comments
