When FINRA ordered Merrill Lynch to pay $7.2 million in restitution and interest to clients in early June, to settle allegations that Merrill had overcharged them on mutual fund sales,...
Continue Reading
When FINRA ordered Merrill Lynch to pay $7.2 million in restitution and interest to clients in early June, to settle allegations that Merrill had overcharged them on mutual fund sales,...
Continue Reading
If you weren’t using collaboration platforms very much before the coronavirus pandemic hit, chances are you are now.
Continue Reading
Effective from June 30th 2020, the US Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) rules mean that broker-dealers will be bound by law to put their...
Continue Reading
Remote working has created new opportunities to engage your network in ways not imagined before. How are you engaging with your clients and peers during this disruptive period?
Continue Reading
The COVID-19 pandemic has transformed how we communicate and collaborate. Almost overnight, the entire working population became home workers, and global demand for instant messaging,...
Continue Reading
In January, when we were awash with “2020 predictions”, no-one forecast that just twelve weeks later we would see financial services regulators, far and wide, relax requirements that are...
Continue Reading
