CFP Board Standards vs. Reg BI: A Chart Prompts Industry Chatter
By Melanie WaddellMichael Kitces sparks debate on a CFP Board comparison of the two sets of standards.
July 21, 2020
Advisors Who Took PPP Loans May Face SEC ScrutinyAn advisory firm certifying that it needs financial assistance to continue operating is likely to raise regulators' eyebrows.
July 21, 2020
Kestra Taps Stephen Langlois as PresidentThe eMoney, Fidelity and LPL veteran will lead broker-dealer and RIA operations, as well as innovation for the firm's platform.
July 21, 2020
SEC Nominee Crenshaw Details Reg BI Compliance PrioritiesFirms need to be held accountable when they fail to comply, Crenshaw said at her nomination hearing.
July 21, 2020
Former RIA Firm's Co-Founder Arrested, Charged in 'Ponzi-Like Scheme'The SEC also filed a complaint against the International Investment Group exec, claiming he "orchestrated multiple frauds" against investors.
July 21, 2020
COVID-19 Planning Is Top RIA Compliance ConcernBusiness continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
July 20, 2020
Pershing Taps Former Goldman Sachs Exec as COOEmily Schlosser replaces Jim Crowley as compliance chief a year after the former CCO was tapped to lead the BNY Mellon business.
July 20, 2020
What to Make of Schwab's Mixed Q2 ResultsEquity analysts weigh in on the company, its purchase of TD Ameritrade and more, ahead of its investor call.