SEC Updates Rules for Robo-Advisors
By Melanie WaddellThe changes better reflect the digital marketplace in 2024, said Gary Gensler, the agency's chairman.
March 18, 2024
SEC's Texting Crackdown Rages On, With RIAs Likely NextStand-alone penalties against investment advisory firms are coming, two former SEC attorneys say.
March 18, 2024
BBVA Opens Miami Advisory for Wealthy Latin American ClientsThe Spanish bank already offers international wealth services in Spain and Switzerland.
March 13, 2024
CFP Board to Publish Disciplinary Records of Some New CFPsPublic notice will be sent as a news release as part of the Board's change to its sanction guidelines.
March 08, 2024
3 Female Advisors Launch Women-Focused RIAOne focus for Expressive Wealth will be creating more visibility for women in the profession, the CEO said.
March 05, 2024
Mercer Nabs $2.5B UHNW GroupMDK Private Wealth provides services like private banking, aviation and boat advisory work, as well as executive planning.
February 29, 2024
The Trends Driving 2024 RIA Dealmaking, in 5 ChartsThe next-gen talent shortage is starting to hit hard, DeVoe & Co. finds.
February 27, 2024
What Recruiters Are Saying About Cetera's New Growth GuaranteeCetera promises new advisors faster growth or a refund of their affiliation fee. Will they take the bait?