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Advisers are making decisions about clients' portfolios by using the same characteristics that govern factor-based ETFs.
The regulator sees patterns in the behavior and disclosures of high-risk brokers.
John Hancock policyholders would get a discount on their premium in return for agreeing to pay a bigger portion of their claims in the future.
After a payday of $75 million or more, CEO Joe Duran plans to join Goldman in a senior position.
Three big acquisitions in less than a year signals renewed life in the formerly beleaguered industry.