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SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment...
JD Supra· 1 day agoA CIP would need to include risk-based procedures for verifying the identity of each client and enable a registered investment adviser (RIA) to form a reasonable ...
Wealth Enhancement Group Adds $1.2 Billion Advisor Firm in Houston
Barrons.com· 12 hours agoWealth Enhancement Group is making its fifth acquisition of the year, buying a large registered ...
FinCEN and SEC propose Customer Identification Program requirements for investment advisers | JD...
JD Supra· 1 day agoEarlier in May 2024, the Financial Crimes Enforcement Network (FinCEN) continued its efforts to require registered investment advisers (RIAs) and exempt ...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 1 day 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-
Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule | JD Supra
JD Supra· 1 day 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 ...
Wealth Enhancement Group Picks Up $1.2B Houston RIA
WealthManagement.com· 1 day agoMinneapolis-based Wealth Enhancement Group, the acquisitive registered investment advisor with over $81.5 billion in client assets, purchased ...
Learn More About Jeran Artery in Cheyenne, WY.
US News & World Report· 5 days agoJeran Artery is a financial advisor in Cheyenne, WY. Find a financial advisor who specializes in the area of expertise you require. An advisor& ...
SEC Adopts Amendments to Regulation S-P That Require Reporting Breaches of "Sensitive Customer...
JD Supra· 2 days agoOn May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors ...
Iran Registers Presidential Candidates for Early Vote After Raisi's Death
US News & World Report· 19 minutes agoIran started on Thursday registration of candidates for an early election next month following the death of President Ebrahim Raisi in a helicopter crash, Iranian Interior Minister Ahmad Vahidi ...
Wells Fargo CEO Charlie Scharf Touts the Bank’s Indie Advisor Channel
Barrons.com· 12 hours agoMost of the company’s advisors work in its full-service brokerage unit, also known as a wirehouse,...
