This content is from: Corner Office How a Quiet SEC Decision Created a Complex Research Payment Problem A majority of asset managers believe the commission’s decision will result in even fewer independent research firms. By Julie Segal August 17, 2022
This content is from: Corner Office How Texas TRS’s Trading Desk Executes More Than $380 Billion Every Year The seven-person in-house trading unit is more sophisticated than ever before. By Alicia McElhaney July 11, 2022
Sponsored The Broker Giveth, The Firm Taketh Away? Former broker Evan Cole claims he was fired by UBS just so the brokerage could get its hands on his clients' book. March 21, 2006
Sponsored Firms Forced To Pay For Sins Of Ex-Broker An arbitration panel has ruled that brokerages Carlin Equities and affiliate Generic Trading of Philadelphia must pay $3.7 million to investors who were defrauded by a former stockbroker who worked for the firms. July 30, 2006
This content is from: Premium Eyeing Growth, Asset Managers Look to Become Preferred Providers of Model Portfolios Distribution driven by technology is the key to being top of mind among advisors By Sponsored by iShares April 26, 2022
This content is from: Portfolio Why Asset Managers Step Up as ‘Buyers of Last Resort’ for Their Brokers Fund managers help brokerage firms in times of distress to uphold their part of a “quid pro quo” relationship, according to research from the University of Notre Dame. By Christine Idzelis June 25, 2020