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RIA Industry News from around the Nation
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This Week’s Top Stories: Morgan Stanley Taps Recruiting Head, UBS Earnings Dip, and More
Most popular stories from January 19 to January 25 Read More The post This Week’s Top Stories: Morgan Stanley Taps Recruiting Head, UBS... Read more » - Discount broker is upgrading RIA servicing technology and its digital platform to take advantage of seismic industry shifts, CEO says. Read More The... Read more »
- UBS AG’s private wealth job cuts include U.S. insurance product veteran, and reorganization of U.S. field managers extends into southern California. Read More... Read more »
- Top stories from around the web. Read More The post Morning Brief: J.P. Morgan CEO Earns $31.5 Million appeared first on AdvisorHub.... Read more »
- Morgan Stanley hires six brokers in California, New York and Kentucky collectively producing $5.5 million, loses a $200-million-asset Manhattan team to regional... Read more »
- A group of former Wells Fargo & Co. executives are facing almost $59 million in fines and bans from the U.S. banking... Read more »
- Compensation and administrative expenses in Raymond James private client division jumped 7% last quarter, and profit was down 7%, but firm has... Read more »
- A growing cohort on Wall Street frets a sharp reversal could soon hit this year’s stock melt-up now that fast-money quants have... Read more »
Visa gambles $5.3 billion that Plaid will pay Big Data dividends while big-footing Envestnet-Yodlee and beating back fintech banking competitors
The Silicon Valley credit card king positions itself in the Yodlee data aggregation world by buying a San Francisco startup, which serves... Read more »- The Berwyn, Pa.-based manager of $25-billion made notable strides in TAMP-for-RIA market but staying up to date against SEI, Envestnet, or AssetMark... Read more »
NEWS
SEC Publishes Annual Reports on Credit Rating Agencies
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized... Read more »
Weekend Reading for Financial Planners (Jan 25-26)Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the industry news that lawmakers... Read more »
The Securities and Exchange Commission today charged a California-based couple with orchestrating a nearly billion-dollar Ponzi scheme involving alternative energy tax credits. According to... Read more »
SEC Announces 2020 Examination Priorities
Earlier this month, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for 2020. Many of the priorities... Read more »The Securities and Exchange Commission today announced that it will host a March 10 conference to focus on municipal securities, which are... Read more »
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