See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The fines, $500 million each to the Consumer Financial Protection Bureau and the Office of the Comptroller of the Currency, covers issues in Wells Fargo’s auto-lending and mortgage units.
The SEC commissioners pushed through a proposal package that would establish a best interest standard for broker/dealers and restrict brokers from using the titles “advisor” or “adviser.”