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Invesco to buy OppenheimerFunds from MassMutual
Invesco plans to buy MassMutual unit OppenheimerFunds, a Financial Times publication reported.
Barrons: Top Independent Financial Advisors Ranking
Once a pebble in the U.S. wealth management landscape RIA firms will soon account for 30% of all retail investment assets
Recent
SEC files 'cherry picking' complaint against Lafayette financial adviser
The U.S. SEC has filed a complaint against a Louisiana financial adviser alleging that the company was involved in a "cherry picking" scheme...
Investment Firm Hit With $200k Fine By SEC Over Ads On KMBZ.
An investment firm that advertised on Entercom news/talk KMBZ-FM Kansas City (98.1) has been fined $200,000 by the SEC...
Trade-data analytics help firms detect insider trading and policy violations
Testing is a key attribute of an advisory compliance program, and examination of trading data is one element of testing that can protect a firm...
Entrepreneurs Need To Teach Their People About Money
I’ve been writing about how entrepreneurs raise capital and manage money for several years. In all that time, while I’ve focused on how to handle...