Many Rivers to Cross: How Wealth & Retail Firms are Navigating this New World Order

In March, the global pandemic came into this country like a lion but unfortunately has yet to go out like a lamb. American society—our families, our healthcare and education systems, as well as corporate America and small businesses alike—had to navigate quickly in unchartered waters. The Covid-19 crisis brought with it significant economic market volatility. These sudden challenges came at Continue Reading

What Regulation Best Interest Means for Wealth & Retail Managers

Last month, despite the market disruption caused by the global pandemic, the SEC announced they had no plans to extend the June 30, 2020 compliance deadline for Regulation Best Interest. This decision may present challenges for firms who have had to divert resources from Reg BI readiness towards addressing the impact of Covid-19 on business operations. For firms who are Continue Reading

Q&A with Sean Cookson, Vice President and Managing Director – APAC at Financial Recovery Technologies: How to Protect Retail Clients’ Assets in Australia’s Evolving Landscape

The Australian shareholder class action landscape has grown significantly over the last several years. It is now the second-most active jurisdiction in the world in terms of growth in the litigation market. In this Q&A, FRT’s APAC Managing Director, Sean Cookson, discusses why it is more important than ever for Australian firms to ensure that retail investors can recover everything Continue Reading