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SEC Charges Five Firms With Improperly Selling Volatility-Linked ETPs

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Kategorien: Geschäftswaren Selbstständige ohne Mitarbeiter Personal Marketing PR | Public Relations Alter: 19 - 30 Jahr 31 - 64 Jahre

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WealthManagment.com Daily Memo

NOVEMBER 13, 2020

REGULATION AND COMPLIANCE

SEC Charges Five Firms With Improperly Selling Volatility-Linked ETPs

Patrick Donachie

The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.

TECHNOLOGY

Riskalyze Fintech Report Card: October 2020

Aaron Klein

Riskalyze CEO Aaron Klein gives the thumbs-up or thumbs-down on the biggest news to hit advisor technology in the previous month.

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PEOPLE

Ex-Wells Fargo CEO Stumpf, Tolstedt Misled Investors, SEC Says

Gregory Mott

John Stumpf, who retired in 2016 after the bank’s deceptions came to light, agreed to pay a $2.5 million fine to settle the allegations.

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