For your Labor Day weekend reading, here are some fintech updates from the past week.
The latest report from the Employee Benefit Research Institute offers a significant wake-up call when it comes to single female employees and their retirement prospects.
But a different case centering on the complex option strategy was dismissed last month by a separate panel of arbitrators.
If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
Investors are debating whether to hold or not to hold cryptocurrency in their IRAs or 401(k)s ahead of Wall Street's traditionally volatile fall season.
On Wednesday, James Iannazzo agreed to pay $7,500, an amount his attorney called a 'token payment.'
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
A bill introduced by Rep. Angie Craig, D-Minn., faces long odds this year, while the prospects for broader reform of the program depend on the outcome of November's election.
Compared with general shareholder votes, defined-benefit programs were much more likely to support resolutions around ESG governance and worker protection.
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
While the current economy is causing uncertainty and jitters, it’s also encouraging participants to act more like institutional investors.
Riskalyze Ultimate combines two existing products, Command Center and Riskalyze Elite, to bring compliance and business development together.
The RIA specializing in public-sector retirement plans is working with Stadion on participant-level personalization and using EPIC's record-keeping platform.
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
Gregory Lindberg and Christopher Herwig allegedly misappropriated $57 million in client funds, while their firm collected more than $21.4 million in advisory fees in connection with these schemes.
As clients consider the different types of coverage, they need to ask the correct questions and observe sign-up deadlines.
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading.
