Fidelity news from FierceComplianceIT
NewsNaked short fines amount to little
Are regulators serious about cracking down on naked short selling? Fortune puts it this way: "Securities industries watchdogs have had it with naked short selling--and if the biggest securities firms... Read more...
More financial services whistleblowers to emerge?
Do not be surprised to see even more whistleblowers emerge in the wake of mortgage meltdown. In some ways, it's surprising we haven't seen more. The media has led us to believe that many mortgage... Read more...
ALSO NOTED: CEO succession planning a good idea from Sarbox perspective;
> At Fidelity, a whistleblower emerges. Article > CEO succession planning a good idea from... Read more...
| Press ReleasesHighTower Announces New Advisory Team in New YorkCHICAGO, Aug. 2 /PRNewswire/ -- HighTower, the first open-source, advisor-owned financial services company, announced that it has expanded the firm's advisory talent in New York with the team of Read more >> Accuri Cytometers Completes $6 Million Series E FinancingANN ARBOR, Mich., July 12 /PRNewswire/ -- Accuri Cytometers, Inc., a world leader in providing life science researchers with easy-to-use, cost-effective flow cytometers, today announced completion of Read more >> RiverNorth Core Opportunity Fund (RNCOX) Added to Envestnet PlatformRiverNorth Core Opportunity Fund Offers the Balance of Diversification Plus the Potential for Alpha GenerationCHICAGO, June 8 /PRNewswire/ -- RiverNorth Capital, a leading investment management firm Read more >> CNA Surety Announces First Quarter 2010 ResultsCHICAGO, April 30 /PRNewswire-FirstCall/ -- CNA Surety Corporation ("CNA Surety" or the "Company") (NYSE: SUR) today reported net income for the first quarter of 2010 of $20.8 million, or $0.47 per Read more >> DALBAR Releases Evaluation of Private Client StatementsTwo Firms Excel in Making the Complex Approachable BOSTON--(BUSINESS WIRE)-- DALBAR, Inc. announced today the release of its first-ever review and evaluation of statements designed to serve the needs Read more >> |
