Tag: derivatives

Compliance

October 16th, 2023

SEC Exam Priorities Require Advisers to Account for Client-Specific Needs in Recommendations

The regulator also listed expensive, complicated and illiquid investment recommendations as coming under increased scrutiny in 2024.

Products

December 19th, 2019

Investment Product and Service Launches

LifeYield partners with financial tech provider; Vanguard changes manager structure of value funds; Northern Trust expands collateral management services; and...

Events Spotlight

PLANADVISER 360

November 2– 5, 2025
The Westin Kierland, Scottsdale, AZ
The retirement plan advisory industry continues to evolve, both in business structure and in the services provided to sponsors and participants. Advisers need insights and resources to aid them in keeping themselves and their practices relevant. PLANADVISER 360 is a comprehensive, interactive event that provides just those opportunities, all while bringing advisers to a beautiful resort to golf, enjoy the outdoors, swim and spend time with peers.

Industry Intelligence

THOUGHT LEADERSHIP

How Advisers Can Help Plan Sponsors Navigate Demographic Shifts

Retirement plan advisers can help plan sponsors with risk management and plan funding to address changing needs of the workforce, according to an expert from Massachusetts Mutual Life Insurance Company.

Sponsored by MassMutual