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FinCEN and SEC propose Customer Identification Program requirements for investment advisers | JD...
JD Supra· 23 hours agoEarlier in May 2024, the Financial Crimes Enforcement Network (FinCEN) continued its efforts to require registered investment advisers (RIAs) and exempt ...
Wealth Enhancement Group Adds $1.2 Billion Advisor Firm in Houston
Barrons.com· 10 hours agoWealth Enhancement Group is making its fifth acquisition of the year, buying a large registered ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 23 hours agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 23 hours ago(FinCEN) jointly proposed a new rule that would require certain investment advisers to establish customer identification programs (CIPs). A CIP would need to include risk-based ...
Wealthcare Launches New RIA Affiliation Model
WealthManagement.com· 14 hours agoWealthcare, an integrated tech platform, hybrid registered investment advisory firm and TAMP based in West Chester, Pa., has launched ...
Wells Fargo CEO Charlie Scharf Touts the Bank’s Indie Advisor Channel
Barrons.com· 10 hours agoMost of the company’s advisors work in its full-service brokerage unit, also known as a wirehouse,...
Learn More About Christopher Cannon CFA in Daytona Beach, FL.
US News & World Report· 11 hours agoChristopher Cannon is a financial advisor in Daytona Beach, FL, and have earned their CFA. This...
Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule | JD Supra
JD Supra· 23 hours agoAs a refresher, Rule 206(4)-5 of the Investment Advisers Act – known as the “pay to play” rule – prohibits investment advisers from receiving compensation ...
JD Supra: Top Tips for Updating Your 2024 Compliance Program
JD Supra· 12 hours agoEvery year compliance officers face the unenviable job of performing their compliance program's...
2024 Fiduciary Rule – Impact on HSAs and Health & Welfare Plans | JD Supra
JD Supra· 23 hours agoThe Department of Labor (“DOL”) recently released a final regulation (the “Fiduciary Rule”) redefining “investment advice” under the Employee Retirement Income Security Act ...
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