Ghislain Gouraige, a 15-year UBS veteran and former leader of the firm’s Private Wealth Advisory Council, talks about what led him down the path to leave the wirehouse and build NewEdge Wealth with colleague Rob Sechan.
The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.
The industry pros who keep America’s $7.3 trillion exchange-traded fund market humming are warning that the settlement shift next May spells trouble for more than 500 US-listed funds that hold overseas assets
The SEC Chair said there’s inherent conflicts in using algorithms that optimize advisors’ profits and revenues during a conversation at SIFMA’s Public Policy Meeting.
Jonathan Hirtle, founder and chairman of Hirtle, Callaghan & Co., has been called the “Oracle of Outsource” by Pension & Investments magazine for his work pioneering the “outsourced chief investment officer” business model for families and...
