Regulatory & Compliance

FINRA suspended Anthony DeJohn and slapped him with a $5,000 fine for improperly charging his commuting expenses of $2,270 to a credit card issued to him by BMO Capital Markets. So reports Advisor Hub.

Saturday, 18 September 2021
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Markets & Investments

JP Morgan is reportedly allowing its wealth management advisors to take crypto fund orders. So reports The Block Crypto.

Tuesday, 27 July 2021
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Retirement

The Department of Labor has gathered significant information on the challenges facing plan sponsors, advisors and recordkeepers when it comes to the dealing with the cognitive decline of those saving for retirement. So reports Investment News

Saturday, 13 February 2021
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Technology & Communications

CogniCor, a fintech firm, has launched three digital assistant tools to help financial advisors become more efficient. So reports Think Advisor.

Saturday, 01 May 2021
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