Articles tagged "Broadridge"
COVID-19 claims the lives of four Broadridge employees and two of its subcontractor's staff, while another contractor's policies exposed workers, raising questions about SEC 'essential work' rules
The New York -based proxy administrations and technology giant of 10,000-employees blames outsourcers for not abiding by its standards for health, safety; others wonder whether the SEC and FINRA created harmfully inflexible, letter-of-the-law rules in pandemic.
July 14, 2020 at 12:46 AM
After Switzerland's ISO endorses Fi360's AIF accreditation, CEO Bill Mueller flips the firm to Broadridge Financial Solutions for a cool $120 million--a 10-fold premium
The Pittsburgh, Pa.-based automated compliance and risk management software company has awarded the AIF designation to over 11,000 advisors since 2003
October 11, 2019 at 3:55 AM
Broadridge CEO Tim Gokey gets Google Cloud's head of platform in his corner as he sets sights on wealth management cloud thunderclapper
Amit Zavery takes a Broadridge board seat as the New York firm--its shares skyrocketing in recent years--adds a wirehouse and makes wealth management a third pillar of growth
July 9, 2019 at 11:33 PM
Morningstar makes tough choice in shedding a 'fiduciary' division -- perhaps to avoid a conflict
Once primarily a 'research' firm, now more of a 'data' firm, the Chicago-based firm was discordant selling 15(c) board consulting services and sell data into the same market, say experts
January 9, 2018 at 8:44 PM
Hard numbers that show the zero-sum advantages of RIAs over wirehouse brokers as told by fund flows
The hold by the Merrill Lynch and Morgan Stanley crowd over product manufacturers is fast slipping