Is Your Technology Ready for an Audit?
Technology is the backbone of most of your processes and procedures; can it stand up to scrutiny when the examiners come to visit?
Nasdaq to Pay SEC $10M Over Botched Facebook IPO
The SEC on Wednesday charged Nasdaq with violations resulting from “poor systems and decision-making” during the IPO and secondary trading of Facebook shares.
All For One and One For All: What RIA Roll-Ups Can Teach All Advisors
Call them what you will—consolidators, holding firms or roll-ups—but these acquirers are showing the way by consolidating operations and achieving greater transparency.