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  • May 29, 2015
    The Daily Brief

    CEOs That Blame Others See Stock Prices Decline

    Companies that take the blame for their poor performance tend to see an eventual boost in their stock price, while those that blame third parties experience the opposite, according to a new study by the University of Missouri....More
  • May 28, 2015
    blog

    FINRA Checking Up on Advisors' Lifestyles

    If your paycheck is wildly out of whack with your lifestyle, your firm’s compliance department and regulators may come knocking....More
  • May 28, 2015
    blog

    Next Regulators Will Be Asking to See Text Messages

    Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace....More
  • May 28, 2015
    The Daily Brief

    Managers Who No Longer Eat Their Own Cooking

    It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money out....More

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