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Berthel Fisher latest to face penalty over fund charges

The SEC has been cracking down firms, like Berthel Fisher, that allegedly did not disclosure payments by funds to broker-dealers and RIAs.

Berthel fisherExchange commissionBerthel fisher coFinancial services incFinancial servicesபெர்த்தெல் மீனவர்பரிமாற்றம் தரகுபெர்த்தெல் மீனவர் இணைநிதி சேவைகள் இன்க்நிதி சேவைகள்

UBS advisor Christopher Aitken named to the Forbes/SHOOK Top 250 Wealth Advisors list

UBS advisor Christopher Aitken named to the Forbes/SHOOK Top 250 Wealth Advisors list
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United statesPonte vedra beachChristopher chrisc aitkenPeter pupelloGregory kadetWharton school of businessUniversity of marylandFinancial services incResearch topWealth managementManaging directorFinancial advisorLane strumlaufSoutheast market headForbes topFinancial times top

SEC Issues Cybersecurity Sanctions Against Eight Firms | Balch & Bingham LLP

Background - On August 30, 2021, the Securities and Exchange Commission (SEC) sanctioned eight firms in three actions for cybersecurity failures in their policies and procedures that.

United kingdomKristina littmanGary genslerCetera financial specialistsCetera advisorsCambridge investment research advisors incCetera investment servicesCambridge investment research incFinancial services incExchange commissionSenate committeeCetera investment advisersEnforcement division cyber unitCetera advisor networksCetera entitiesCambridge investment research

UBS Launches the First US-listed 2x Leveraged ESG ETN

UBS Launches the First US-listed 2x Leveraged ESG ETN
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United statesAsia pacificAlison keunenYork stock exchangeDeposit insurance corporationFinancial services incUbs agSwiss exchangeInvestment bankExchange commissionNew york stock exchangeGross total returnStates indexParent indexProspectus supplementFederal deposit insurance corporation

UBS Launches Two New ETNs Linked to the IFED Large-Cap US Equity Index TR

UBS Launches Two New ETNs Linked to the IFED Large-Cap US Equity Index TR
financialbuzz.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financialbuzz.com Daily Mail and Mail on Sunday newspapers.

United statesAsia pacificAlison keunenYork stock exchangeDeposit insurance corporationEconomic index associatesFinancial services incUbs agSwiss exchangeFederal reserveInvestment bankExchange commissionNew york stock exchangeIndex total returnFederal reserve boardIndex sponsor