Wealth Management industry news covering the financial markets, trends and wealth professionals.
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The evaluation and restructuring began when Susan Schroeder, who has been with FINRA since 2011, was named executive vice president and head of enforcement last summer.
Chief Executive Officer Sergio Ermotti said UBS has begun to cut costs in wealth management following the merger of the U.S. and international division into one super-unit that manages about $2.4 trillion.
If the use of artificial intelligence is not yet ubiquitous in the wealth management industry, the discussion of it is. Here, Celent senior analyst William Trout explains what the impact will be for financial services, including financial advisors.