SEC Releases FAQ on Reg BI Compliance
By Melanie WaddellThe FAQ states that Form CRS will not satisfy a broker's Regulation Best Interest disclosure obligations and sets out which products are covered by the rule.
January 09, 2020
Fidelity Launches First Full-Service HSA for AdvisorsFidelity's HSA for advisors and other financial intermediaries is integrated with Wealthscape, its advisor technology platform.
January 09, 2020
LPL Recruits Black Advisor Team From Northwestern MutualMeanwhile, RIA Mercer Global Advisors is buying CCP Inc., a Chicago-based group with $140 million in client assets.
January 09, 2020
Envestnet Buys Stake in Dynasty, Forms Services ExchangeAdvisors on Envestnet's platform will gain access to growth capital, business tools, marketing and outsourced CFO services.
January 09, 2020
Beware California's New Data Privacy LawIt may affect you if you have clients there, and other states may follow suit.
January 08, 2020
David Tittsworth, Longtime IAA Chief, Dies"David will be remembered as a passionate, dedicated, articulate, and effective advocate for the investment advisory community," IAA CEO Barr said.
January 08, 2020
T3 Events Now Have Code of ConductThe news from Technology Tools for Today comes three months after Ken Fisher was called out for lewd comments at an event.
January 08, 2020
RIA Savant to Buy Huber, Forming $8B Chicago GroupThe combined entity could have 70 employee owners and work with $3.1 billion in the greater Chicago area, where both RIAs are based.