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.
Turnkey asset management platforms can help advisers grow their practices, panelists say.
The latest moves illustrate the push-and-pull dynamics of recruiting and hiring advisers at Wells Fargo.
A successful job offer will not only win the candidate, but lay out a sustainable vision for the future.
Smaller fund companies are struggling to differentiate their offerings, the survey finds.
The report found that women in senior expert and leadership roles were found to have 62% of the accumulated wealth that their male counterparts enjoyed at retirement.
Without standardization, institutional investors have some trouble incorporating the data.
