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According to new data released Thursday by Broadridge’s Fund Distribution Intelligence, ETF assets increased $124 billion in 2015, hitting an all-time high of $2.2 trillion. Comparatively, long-term mutual fund assets decreased by $161 billio...
One of the most common misconceptions regarding succession planning is: “I’m young and healthy. I’ll think about succession planning when I’m closer to retirement.&rdquo...
The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including revamping license testing and creating a waiver program for those taking a leave of absence or performing different job functions...
There are six Priority Intersections identified in both Priority Letters this year. These are the topics that senior management and compliance officers should focus on.
Institutional wealth management businesses (401(k), 457, 403(b), 529, stock plans, etc.) contain significant assets but are often only seen as recordkeeping / service-based businesses by senior management. For a variety of reasons, many are...