Jan 26, 2016
LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest
Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines
Tag
Sound Compliance Services
6 articles
Articles tagged "Sound Compliance Services"
Sep 18, 2015
Why legal experts expect radio personality and registered rep Dawn Bennett to be barred from the industry for what started as an exaggeration of AUM
In the great tradition of legal quagmires, the cover-up seems as much the issue as the original broadcasted misdeed
Apr 24, 2015
Schwab will take a machete to Schwab Private Client hyper-fee fund holdings but still steer assets to high-margin OneSource, ADV says
The cost-slashing by the $65-billion AUM San Francisco RIA is meant to streamline and improve process, according to the company
Mar 11, 2015
Adam Nash makes direct 'CEO-to-CEO' plea to Schwab to rethink its robo
In a blistering blog entry, the Wealthfront chief executive expresses outrage at the Schwab robo's ADV contents -- and gets an earful back from the San Francisco giant
Apr 8, 2011
Government shutdown may wallop SEC to the long-term detriment of RIAs
Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff