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,...
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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,...
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If you weren’t using collaboration platforms very much before the coronavirus pandemic hit, chances are you are now.
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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...
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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?
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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, video...
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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...
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