Francis Ciocari is affiliating with the firm through super OSJ Gladstone Wealth Partners and will be opening an office in Blue Bell, Pennsylvania.
It’s critical for fintech firms to have incident response plans if a catastrophic event and subsequent cyberattack were to happen.
Under the legislation, which could become part of the $3.5 trillion budget bill working its way through Congress, employers that don't offer a retirement plan would have to establish an auto-IRA or 401(k) for their workers.
Even though advisers don’t have to comply with the rule for more than a year, it ranked as the hottest compliance topic, according to a survey; cybersecurity and climate change/ESG were other areas worrying advisers.
The NFL franchise will expose Stash’s financial literacy programs to 6 million fans via social media and 11 million viewers that watch the team during a broadcasted game.
Adapting to the changing climate also includes taking into account advances in technology, such as in medicine, energy, transportation, space travel, artificial intelligence and computing. We need to analyze our current investments and consider updating our portfolios.
LPL made clear it was eyeing Voya financial advisers after Cetera Financial Group Inc. said it was buying the firm in February.
Rather than focusing on servicing clients, think instead of creating a great client experience — something that's very different.
Millennium Advisory Services provides financial planning and advice to employees of colleges and universities, as well as to endowments and foundation boards.
The time is right to focus on back-office efficiency. Docupace’s Ryan George explains why the payoff in efficiency, better customer service and reduced costs can so rewarding.
The basketball legend is among the investors participating in an $11.6 million funding round for Vanilla, which was founded by Steve Lockshin in 2019 to fully digitize estate planning for registered investment advisers.
Rob Foregger, who led the establishment of the fintech firm in 2013, left his day-to-day responsibilities at the company in May, but is still a shareholder and adviser.
In the two decades since 9/11, the financial industry has been preparing for the next terrorist attack, in whatever form it might take.
Glamorous it’s not. But Docupace’s Ryan George explains why the route to greater firm efficiency, more satisfied clients and more productive advisors lies in automating back-office processes.
Even before drawing her first government paycheck, Barbara Roper has influenced how the SEC under Gary Gensler is approaching Regulation Best Interest.
Defendants in the long-running case have been ordered to pay restitution to more than 200 plans. Assets were allegedly siphoned from benefits payments to buy property and used for other personal expenses.
For several months, SEC examiners have been demanding that money managers explain the standards they use for classifying funds as environmental, social and governance-focused.
The regulator sued five BitConnect promoters in May for their roles in promoting the scheme by creating testimonials on YouTube, sometimes multiple times a day.
The agency is considering more stringent disclosure requirements for investment funds amid concerns that some fund managers are making unfounded ESG claims.
The conference, originally scheduled for Oct. 20-22, will now take place on May 4-6, 2022 at the Aria in Las Vegas. The move follows other recent postponements of tech-related events.
