The SEC And The CFTC Hit Financial Institutions With Nearly $550 Million In Fines Over Recordkeeping Failures Regarding Digital Communications. Firms That Don’t Improve Likely Will Face More Penalties.
Model Portfolios Can Add Value When Advisors Incorporate The Client’s Priorities, Build ‘Sleeves’ For Flexibility, Back-Test Performance, And Customize With A Mix Of Short-Term And Long-Term
