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  • Feds to Cut Medicare Advantage Plan Pay Over Health Score Creep
  • SEC Issues New Warning on Reg BI Compliance Failures
  • Whose Life Expectancy Views Drive Annuity Sales?
  • That Big New Spending Package and Medicare: A Medicare Customer Question
  • Capital Group Names New CEO
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60/40 Blend May Rebound This Year: Wells Fargo

January 20, 2023January 23, 2023 European Compliance

   What You Need to Know Stocks and bonds are likely to return to their negative correlation this year, the

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Commonwealth Picks Up $1B Team From Edward Jones

January 19, 2023January 23, 2023 European Compliance

   Commonwealth Financial Network says it has recruited Cedarwood Financial Partners of Temple, Texas, from Edward Jones. The firm has

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Schwab Sends Settlement Checks to Robo-Advisor Clients

January 18, 2023January 20, 2023 European Compliance

  What You Need to Know The checks, which must be cashed or deposited by March 30, are tied to

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MetLife Renews Ties to Snoopy, for Pet Insurance

January 17, 2023January 20, 2023 European Compliance

  MetLife has enlisted Snoopy in an effort to promote its worksite pet insurance program. The New York-based insurer announced

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New Bill Would Repeal Estate Tax, Keep Step-Up in Basis

January 14, 2023January 15, 2023 European Compliance

   What You Need to Know The step-up in basis affects far more estates than the estate tax, Ed Slott

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J.P. Morgan Wealth Unit Launches QuickDeposit: Tech Roundup

January 13, 2023January 15, 2023 European Compliance

   What You Need to Know A new J.P. Morgan Wealth Management mobile app capability enables clients to conveniently deposit

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Unlicensed Advisor Gets Over 6 Years for Ponzi Scheme

January 12, 2023January 15, 2023 European Compliance

    What You Need to Know An unregistered advisor was sentenced to 75 months in prison for mail fraud in

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Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities Scheme  

January 11, 2023January 15, 2023 European Compliance

   What You Need to Know Instead of using clients’ funds on legitimate investments, Mark Marchi diverted their money to

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5 Trends Shaping Wealth Management in 2023 and Beyond

January 10, 2023January 15, 2023 European Compliance

   What You Need to Know Subtle yet dramatic changes are happening in the independent wealth space that will shape

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5 Keys to a Texting Policy That Will Stand Up to SEC Scrutiny

January 7, 2023January 9, 2023 European Compliance

    What You Need to Know The SEC is increasingly scrutinizing firms’ policies and procedures regarding personal device communications and

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Latest Stories

  • Feds to Cut Medicare Advantage Plan Pay Over Health Score Creep February 1, 2023
  • SEC Issues New Warning on Reg BI Compliance Failures January 31, 2023
  • Whose Life Expectancy Views Drive Annuity Sales? January 30, 2023
  • That Big New Spending Package and Medicare: A Medicare Customer Question January 28, 2023
  • Capital Group Names New CEO January 27, 2023
  • Web-Based Life Marketer Sues Swiss Re January 26, 2023
  • SEC Fines Bloomberg Finance $5M Over ‘Misleading’ Securities Pricing Product January 25, 2023
  • FINRA Asks SEC to Extend Use of Video Hearings January 24, 2023
  • Longtime Health Agent Group CEO to Leave Post January 23, 2023
  • DOL Indie Contractor Rule Would Cause ‘Significant Disruption’ January 21, 2023

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  • Annuities (3)
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