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Friday, January 31, 2025
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FINRA Flags Shortcomings in Firms’ Anti-Money Laundering Efforts
PAPS-013025-FINRA-Cyber-fraud-1289790013-web
The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their compliance with security regulations.
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Compliance
Product and Service Launches – 1/29/25
Pontera, Orion announce new integration; PEO Partners, AlphaQuest launch actively managed ETF; Sycamore introduces surveillance platform for broker/dealers.
Today’s Most Read
1. Answering Questions About SECURE 2.0 Catch-Up Provisions
2. Income Target-Funds Reach $22B in Assets in 2024
3. DC Retirement Plan Balances and Contributions Rising, Fidelity Reports
Southwest Airlines Faces Lawsuit Over ‘Chronically Underperforming’ 401(k) Funds
Participants allege that the airline failed to remove a large-cap growth investment option after ‘15 years of underperformance.’
TRENDING: Holistic Planning is Key to Navigating Retirement Income Challenges
An Ameriprise Financial executive discusses how to navigate the shift from saving for retirement to managing distributions.
TDFs With Annuity Options Set to Proliferate
2025 will likely see new entrants offering hybrid annuity TDFs, while existing players will announce more recordkeeper partnerships and asset allocation updates.
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