SEC Continued With 'Vigor' Despite Pandemic: Clayton
By Melanie WaddellThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 09, 2020
8 Professions Where Trust Wins Over PricePeople are willing to pay more if they feel the professional they are interacting with has their best interests in mind.
November 06, 2020
Fidelity Hiring for Digital Assets PlatformThe news comes three weeks after the industry giant said it wants to fill some 4,000 new client-facing positions.
November 05, 2020
10 Ways to Raise Your Visibility on LinkedInYou can modernize your prospecting pipeline in the time you once would have spent commuting.
November 05, 2020
SEC Asset Management Committee Taps Tibergien's ReplacementLaRoche-Morris is BNY Mellon Investment Management's chief operating officer.
November 05, 2020
Why It's Time to Hire Service-Focused AdvisorsWhile business-building rainmakers are essential to the health of an advisory firm, service advisors are often more valuable.
November 03, 2020
New York BDs Merge to Form $2B Herold & Lantern InvestmentsCombining are the family-owned firms Bernard Herold & Co. and Lantern Investments.
November 03, 2020
Eaton Vance Wealth Unit Wraps Up Purchase of $2.3B RIAThe news comes about one month after Morgan Stanley said it was buying asset manager Eaton Vance for $7 billion.