01/09/2017
In order to make these findings, broker-dealers have been putting pressure on fund firms to standardize their compensation arrangements and, to a large extent, to tailor their applicable sales charge and distribution fee elements to the needs of each firm
01/06/2017
One option it’s reviewing is to instead lend to firms like Lone Star Funds, which specialize in buying bad mortgages from government auctions and lowering consumers’ obligations. Amanda Williams, a spokeswoman for Deutsche Bank, declined to co
01/05/2017
There is little to indicate he has, as of yet, any informed opinion on the rules governing the industry.
01/03/2017
According to the criminal information, from April 2010 through July 2016, Strohman was Senior Vice President at a federal savings bank in Maryland, which had branches in Pikesville and Highlandtown.
01/03/2017
The case constitutes an unprecedented criminal scheme in Peru, unlike the ones usually processed in the country's justice system, such as collusion and cash payments.
01/02/2017
The inquiry also comes on the heels of a state report that said cities facing large pension crises, like Dallas and Houston, aren't likely to get financial help from the state.
New guidance from SEC aims to help investment management industry respond to fiduciary rule: a closer look