SROIIA Launches State Web Tool in Anticipation of ‘Switch’
The SROIIA, which was founded by two University of Mississippi School of Law students last March, announced Wednesday that it had created a web tool to help advisors wade through the registration requirements for each state.
Forget Advisor SRO; Use External Auditors for Exams, Academic Study Urges
A Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.
Envestnet Continues Expansion With Two More High-Profile Hires
John Fitzpatrick, ex-Fidelity, and Sean Mullen, ex-Fortigent join Envestnet in sales, SMA consulting roles.
SEC’s Fiduciary, SRO Studies Considered Linked, Experts Say
Although the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.
New Frontiers for Foliofn
Industry Pioneer Hires Institutional Chief, to Foc