European Compliance Association

    he Securities and Exchange Commission charged an advisor in Falmouth, Massachusetts, and his firm with defrauding clients as part

   What You Need to Know UBS Group’s deal to buy rival Credit Suisse is expected to create a business

    The North American Securities Administrators Association is lowering the passing score for the Series 65 exam to 70% from 72%

    What You Need to Know In 2021, 226 U.S. life insurers were using derivatives to manage risk. When the

    What You Need to Know One long-shot idea is a tie-up with larger Swiss rival UBS Group, said people

    The scope of exams conducted by the Securities and Exchange Commission has expanded “significantly” as the agency takes a more “aggressive”

        What You Need to Know Laura Izurieta stepped down April 29, 2022, and the new CRO

    U.S. consumers seemed to be looking for less income from immediate income annuities in the fourth quarter of 2022,

      What You Need to Know President Joe Biden’s budget proposal takes aim at loopholes used by wealthy

    What You Need to Know UBS has entered a strategic partnership with startup incubator and accelerator Tenity. RIA Advisors