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A proposal being circulated inside Wall Street’s main regulator would require that brokers in fixed-income and some derivatives—as well as those handling equities—get their clients the best deal.
From books on leadership and conflict management to a novel about finance, WealthManagement.com presents the best books of 2022 for financial advisors.
The SEC said the Goldman Sachs Asset Management unit “had several policies and procedures failures involving the ESG research its investment teams used to select and monitor securities.”
The final rule includes language that clarifies plan fiduciaries can base decisions on factors they deem relevant, including “the economic effects of climate change and other ESG considerations.”
The Ensemble Practice's Brandon Odell discusses the evolution of staffing and compensation in the RIA industry—and how the most successful firms are winning the war for talent.
Listen in and learn from these experts on how you can streamline your infrastructure for fast growth with the latest enhancements in workflow technology.
