Advisors on the Move: Morgan Grabs $1B Team Morgan Stanley, Merrill Lynch and other firms have been benefiting from defections from Barclays. But those firms werent the only winners in the competition for top talent. See these moves and more in our latest recruiting roundup.
As long as a nonprofit group stays "on the right side of the line -- even though either you or I would say what they are doing is wrong -- it's still protected by 'judgment,'" or a right to broad discretion in decision-making.
Digital-first firms gravitate toward a blogging website that has aired several heated industry debates, a markedly different approach from the cautious way traditional firms present themselves online. more »
An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention." more »