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Study points out barriers to success of women advisers
PRACTICE MANAGEMENT NOV 17, 2022
Study points out barriers to success of women advisers

Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.

Webber, Franklin win top Women to Watch awards
WOMEN ADVISOR COMMUNITY NOV 16, 2022
Webber, Franklin win top Women to Watch awards

Amy Webber, CEO of Cambridge Investment Research Inc., won the Alexandra Armstrong Lifetime Achievement Award, while Mary Beth Franklin took home the Trailblazer Award.

The latest in financial #AdviserTech — November 2022
FINTECH NOV 16, 2022
The latest in financial #AdviserTech — November 2022

This month's highlights include the launch of a new RIA custodian, Entrustody, along with Orion's announcement of Redtail Campaigns and Riskalyze's plan to rebrand itself.

SEC officials tell advisers to put clients’ interests first, tell truth in ads
PRACTICE MANAGEMENT NOV 15, 2022
SEC officials tell advisers to put clients’ interests first, tell truth in ads

A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.

Activist investor challenges Envestnet's poor stock performance
RIAS NOV 15, 2022
Activist investor challenges Envestnet's poor stock performance

Hedge fund Impactive Capital is threatening a proxy fight in an effort to secure a seat on Envestnet's board.

S&P to pay $2.5 million to settle SEC conflict-of-interest charges
PRACTICE MANAGEMENT NOV 15, 2022
S&P to pay $2.5 million to settle SEC conflict-of-interest charges

The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.

Merrill nabs $1 billion team from Citi
PRACTICE MANAGEMENT NOV 15, 2022
Merrill nabs $1 billion team from Citi

A team of four advisers in suburban New York is making the switch.

Bad tech costs advisers money and clients
FINTECH NOV 15, 2022
Bad tech costs advisers money and clients

Though 58% of the advisers and executives surveyed classified their technology as 'modern,' 65% reported losing business because of outdated software.

CFP Board seeks time limit on reinstating suspended mark
PRACTICE MANAGEMENT NOV 14, 2022
CFP Board seeks time limit on reinstating suspended mark

The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.

Former chief compliance officer at RIA guilty of $500,000 fraud
RIAS NOV 14, 2022
Former chief compliance officer at RIA guilty of $500,000 fraud

According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.

GWG chiefs bolt in middle of bankruptcy
ALTERNATIVES NOV 14, 2022
GWG chiefs bolt in middle of bankruptcy

Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.

FTX collapse fails to derail investments into crypto funds
ALTERNATIVES NOV 14, 2022
FTX collapse fails to derail investments into crypto funds

Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.

Fintech Bytes: Crypto collapses, Envestnet eyes custody business, SEI adds UMAs
ALTERNATIVES NOV 11, 2022
Fintech Bytes: Crypto collapses, Envestnet eyes custody business, SEI adds UMAs

A roundup of the week's top fintech news, including crypto's collapse, Envestnet's custodian plans and SEI adding UMAs.

3 ways advisers can get the most out of hybrid work
OPINION NOV 11, 2022
3 ways advisers can get the most out of hybrid work

Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.

SEC exams director reticent about how agency will probe marketing rule
PRACTICE MANAGEMENT NOV 11, 2022
SEC exams director reticent about how agency will probe marketing rule

But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.

Digital RIA Savvy attracts $11 million in venture capital
FINTECH NOV 10, 2022
Digital RIA Savvy attracts $11 million in venture capital

Savvy isn’t a consumer-facing robo-adviser or a wealth fintech building tech for other RIAs; instead, it's a fairly classic RIA with proprietary technology built entirely in-house.

Merrill Lynch to drop unpopular pay hurdle in 2023
PRACTICE MANAGEMENT NOV 10, 2022
Merrill Lynch to drop unpopular pay hurdle in 2023

Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.

FiComm, FMG partner to train advisers in digital marketing
FINTECH NOV 10, 2022
FiComm, FMG partner to train advisers in digital marketing

The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.

How to give gifts that will delight clients
OPINION NOV 10, 2022
How to give gifts that will delight clients

Consider skipping the classic fruit basket, and think of new, memorable ways to wow clients this holiday season.

SEC exams director warns advisers to strengthen cyber defenses
FINTECH NOV 09, 2022
SEC exams director warns advisers to strengthen cyber defenses

Richard Best tells an audience of compliance professionals that online attacks pose a threat to firms of all sizes.