To access this premium content, please sign up for a free account!
You Might Also Like:
Cambridge Expects $500,000 Fine for Promised Fee Waiver Failures
The firm offered certain fee waivers which were not honored, per a recent regulatory filing.
FINRA’s Top Enforcement Issues of 2023
Regulation Best Interest makes the top five, according to Eversheds Sutherland LLP.
Prudential, RGA Assume Verizon Pension Obligations of $5.9B
The telecom giant announced the pension risk transfer through its purchase of single-premium group annuity contracts covering 56,000 retirees.