Regulatory & Compliance
The Securities and Exchange Commission settled with 21 investment advisers and six broker-dealers for a total of $910,092 in the first significant enforcement action related to Reg Bi since it was enacted last year. So reports Compliance Week.
Markets & Investments
The Department of Labor has gathered significant information on the challenges facing plan sponsors, advisors and recordkeepers when it comes to the dealing with the cognitive decline of those saving for retirement. So reports Investment News.
Technology & Communications
CogniCor, a fintech firm, has launched three digital assistant tools to help financial advisors become more efficient. So reports Think Advisor.
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