Advisor Custody Expansion
The Securities and Exchange Commission is considering expanding regulatory oversight to cover all assets in a client's portfolio, not just securities and funds.
Saturday, December 13, 2025
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How to Avoid 401(k) Theft in 2023
According to a Javelin 2019 survey, 14.4 million participants became victims of identity theft in 2018. Every plan sponsor should take care of this problem beforehand to avoid a serious risk to their plan participants.
Why Multi-Factor Stress Testing is so Powerful
The global financial market is inherently complex and dynamic, and it is susceptible to a wide range of risks, including geopolitical tensions, economic uncertainty, and natural disasters, among others.
Ways to Avoid Disclosure Violations
With the growing number of items that compliance teams must monitor, including both firm and representative disclosures, tracking regulatory compliance disclosures has become even more complicated than it used to be.
Participant Education is King
401K plans are perhaps the most popular retirement savings options for employees & employers in the United States. So it is imperative for plan advisors and sponsors to educate plan participants to avoid litigation and ensure compliance with ERISA, DOL, and other statutory regulations.
How Your Portfolio Reacts Under Certain Market Conditions
RiXtrema CEO Yon Perullo joins Jill Malandrino on Nasdaq TradeTalks to discuss why the goal is to understand identifying risk and how your portfolio reacts under certain market conditions.