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Latest:
  • Advisor Charged With Defrauding Clients in Annuity Switching Scheme
  • What UBS’ Credit Suisse Deal Means for Advisor Recruiting
  • NASAA Lowers Passing Score for Series 65 Exam
  • Derivatives Collateral Calls Could Affect Life and Annuity Issuers: Moody’s
  • Swiss Government Holds Talks on Options to Stabilize Credit Suisse
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Advisor Charged With Defrauding Clients in Annuity Switching Scheme

March 22, 2023March 23, 2023 European Compliance

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

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What UBS’ Credit Suisse Deal Means for Advisor Recruiting

March 21, 2023March 23, 2023 European Compliance

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

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NASAA Lowers Passing Score for Series 65 Exam

March 18, 2023March 23, 2023 European Compliance

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

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Derivatives Collateral Calls Could Affect Life and Annuity Issuers: Moody’s

March 17, 2023March 17, 2023 European Compliance

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

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Swiss Government Holds Talks on Options to Stabilize Credit Suisse

March 16, 2023March 17, 2023 European Compliance

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

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SEC Getting More Aggressive With Advisor Exams, Ex-Directors Say

March 15, 2023March 15, 2023 European Compliance

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

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SVB Had No Chief Risk Officer for Months

March 14, 2023March 15, 2023 European Compliance

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

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Income Annuity Shoppers Might Be Splitting: Cannex

March 13, 2023March 15, 2023 European Compliance

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

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Biden Budget Declares War on Supersized IRAs

March 11, 2023March 12, 2023 European Compliance

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

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UBS Teams With Fintech Incubator: Tech Roundup

March 10, 2023March 12, 2023 European Compliance

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

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Latest Stories

  • Advisor Charged With Defrauding Clients in Annuity Switching Scheme March 22, 2023
  • What UBS’ Credit Suisse Deal Means for Advisor Recruiting March 21, 2023
  • NASAA Lowers Passing Score for Series 65 Exam March 18, 2023
  • Derivatives Collateral Calls Could Affect Life and Annuity Issuers: Moody’s March 17, 2023
  • Swiss Government Holds Talks on Options to Stabilize Credit Suisse March 16, 2023
  • SEC Getting More Aggressive With Advisor Exams, Ex-Directors Say March 15, 2023
  • SVB Had No Chief Risk Officer for Months March 14, 2023
  • Income Annuity Shoppers Might Be Splitting: Cannex March 13, 2023
  • Biden Budget Declares War on Supersized IRAs March 11, 2023
  • UBS Teams With Fintech Incubator: Tech Roundup March 10, 2023

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