US regulator fines BofA’s wealth unit Merrill over SAR failures
Merrill Lynch, Pierce, Fenner & Smith Incorporated has resolved SEC charges tied to repeated failures to submit suspicious activity reports (SAR) between April 2020…
News
General Atlantic in talks to buy PAG’s stake in Nuvama Wealth – report
Mirae Asset lauches MAPS trading app in Hong Kong
UK financial watchdog consults on changes for closed ended investment funds
Lombard Odier and Alpha Japan sign asset and distribution agreements
Asset manager Mirova gets new chief executive
AI-driven wealth firm Arca lands $64m investment
European advisers face ‘management gap’ on clients’ digital assets – Study
