Capital, Risk & Assets

Are Financial Firms Facing Recordkeeping Compliance Issues?
Capital, Risk & Assets Are Financial Firms Facing Recordkeeping Compliance Issues?

In a significant move, the U.S. Securities and Exchange Commission (SEC) charged twelve high-profile financial firms, including industry titans such as Blackstone, Charles Schwab, and Apollo Capital Management, for failing to maintain records of employees' communications on both personal and

Is Regulatory Reform Needed After Dixon Advisory's Shocking Collapse?
Capital, Risk & Assets Is Regulatory Reform Needed After Dixon Advisory's Shocking Collapse?

The collapse of Dixon Advisory has sent shockwaves through Australia's financial advisory industry, leaving numerous clients in financial distress and raising serious questions about the regulatory framework governing wealth management practices. The Senate economics references committee’s i

Will Mortgage Rates Remain High in 2025 Amid Economic Uncertainty?
Capital, Risk & Assets Will Mortgage Rates Remain High in 2025 Amid Economic Uncertainty?

The forecast for mortgage rates in 2025 has been a topic of significant interest, especially given the economic volatility of recent years. Initially, there was optimism that mortgage rates would decline as inflation eased and the Federal Reserve adjusted its policies. However, current projections

US Job Market Thrives as Wealth Managers Plan Expansion Into 2025
Capital, Risk & Assets US Job Market Thrives as Wealth Managers Plan Expansion Into 2025

The United States job market is showing remarkable resilience as the economy heads into 2025. Despite high-interest rates, there is a palpable sense of optimism, particularly within the wealth management sector. This article delves into the recent employment trends, market reactions, and the

Five Essential Financial Resolutions for a Prosperous 2025
Capital, Risk & Assets Five Essential Financial Resolutions for a Prosperous 2025

With the start of 2025, it's an opportune moment to set financial resolutions that can enhance your economic well-being throughout the year and beyond. According to the Pew Center Research, three-in-ten Americans made New Year's resolutions, and 61% of these resolutions were centered

Evaluating American Express: Is the Stock a Buy, Sell, or Hold?
Capital, Risk & Assets Evaluating American Express: Is the Stock a Buy, Sell, or Hold?

American Express (AXP) has been a significant player in the credit card industry, renowned for its strong brand, lucrative cardholder perks, and an integrated payment processing network. Given its notable standing and historical performance, this article seeks to delve into the current state of

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