The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
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.
Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.
Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.
A roundup of the week's top fintech news, including crypto's collapse, Envestnet's custodian plans and SEI adding UMAs.
Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.
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.
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.
Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.
The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.
Consider skipping the classic fruit basket, and think of new, memorable ways to wow clients this holiday season.
Richard Best tells an audience of compliance professionals that online attacks pose a threat to firms of all sizes.
The goal is for independent registered investment advisers to explain to clients simply and transparently what they're paying for services provided.
If advisers don't set expectations when they first meet with clients, clients will create their own, and odds are they'll be disappointed.
Abbie Osterbur and Niralee Patel are joining the firm’s employee adviser channel in Champaign, Illinois.
Complications for LGBTQ+ clients are only likely to proliferate with impending legal decisions.
The aim is to help more military members and their families reach financial goals.
The firm specializing in tax-related advice draws from advisers and accountants.
The financial services industry needs to take into account the unique needs and investing perspectives of women.
The digital platform provides access to alternative investments and fixed income.
