Lawyers Release SEC Marketing Rule Checklist as Advisor Questions Linger
By Melanie WaddellModel portfolio marketing materials are raising a lot of questions, according to Eversheds Sutherland.
February 16, 2022
Carson Group Names Its First CTONimesh Patel joins the RIA after serving as CEO of tech startup Prefix Health Technologies.
February 15, 2022
SEC Slams 12 More Firms for Form CRS FailuresThe 6 RIAs and 6 BDs missed deadlines and failed to include all information necessary for the form, according to the agency.
February 14, 2022
Advisor Execs Rip Hightower for Suing Breakaway RIALPL's Burt White likened the suit against Michael Policar to "hanging beheaded pirates in the harbor" as a warning.
February 11, 2022
SEC Orders Robo-Advisor to Pay $300K for Misleading ClientsWahed Invest allegedly advertised nonexistent proprietary funds and falsely promised clients it would rebalance their accounts.
February 11, 2022
What 11 Advisors Learned From Rejection: Advisors' AdviceNo one likes to be rejected by a prospective client, but as an advisor, it can actually help you build your business.
February 10, 2022
Tifin Launches Advisor Growth Platform: Tech RoundupAlso, YieldX adds eMoney Advisor founder Edmond Walters to its board of advisors.
February 10, 2022
Selling in the Red-Hot M&A Market: How to Maximize Your PriceThere are major differentiators that determine the price your firm can attract in the deal marketplace.