Skip to content
Sunday, March 26, 2023
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
European Compliance Association

European Compliance Association

News on Investment Opportunities

  • Home
  • Investment Portfolio
    • Equities
    • Fixed Income
    • Funds
    • Economy & Markets
    • Investing Theory & Strategy
    • Legal & Compliance
    • Portfolio Construction
  • Wealth Management
    • Wealth Manager News & Advice
    • Tax Planning & Strategies
    • Institutional Investing
    • Risk Management
    • Independent Broker-Dealers
    • NextGen Advisor
    • Career News & Advice
    • Client News & Advice
  • Retirement Planning
    • Annuity Planning
    • Annuities
    • Health Insurance
  • Authorized Companies

Career News & Advice

News 

Focus Financial Adds $682M Kansas RIA

December 1, 2020December 14, 2020 Career News & Advice, Wealth Manager News & Advice

Focus Financial Adds $682M Kansas RIA Kavar Capital Partners is the seventh partner firm to join Focus year to date,

Read more
News 

NASAA Adopts Rule on CE Credits for Investment Advisors

November 30, 2020December 14, 2020 Career News & Advice, Legal & Compliance, Wealth Manager News & Advice

The group’s model rule requires IARs to take 12 hours of continuing education each year. (Image: Shutterstock) The North American

Read more
News 

New Advisor Designation Drawing Criticism

November 30, 2020December 2, 2020 Career News & Advice, Independent Broker-Dealers, Legal & Compliance, NextGen Advisor, Wealth Manager News & Advice

New Advisor Designation Drawing Criticism Michael Kitces questions whether clients would really seek out advisors with an Accredited Behavior Financial

Read more
Best Practice 

Top 14 Mistakes Made by Financial Advisors

November 30, 2020December 2, 2020 Career News & Advice, Wealth Manager News & Advice

Top 14 Mistakes Made by Financial Advisors 1. Not doing much prospecting. No one ever comes out and says that.

Read more
Analysis 

As Schwab Gobbles Up TD Ameritrade, What Should Advisors Do?

October 2, 2020December 14, 2020 Career News & Advice, NextGen Advisor

As Schwab Gobbles Up TD Ameritrade, What Should Advisors Do? (Photos: Shutterstock) Charles Schwab’s $26 billion purchase of rival TD

Read more

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

Quick Jump

Top 10 Most Published Topics

  • Economy & Markets (12)
  • Legal & Compliance (9)
  • Wealth Manager News & Advice (7)
  • Investing Theory & Strategy (5)
  • Career News & Advice (5)
  • Equities (5)
  • Portfolio Construction (4)
  • Annuities (3)
  • Tax Planning & Strategies (3)
  • Annuity Planning (3)

EuropeanComplianceAssociation.com

Contact Us

Privacy Policy

 

Copyright © 2023 European Compliance Association. All rights reserved.
Theme: ColorMag by ThemeGrill. Powered by WordPress.