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SEC Adopts Amendments to Expand the Requirements of Regulation S-P for Registered Investment...
JD Supra· 28 minutes agoOn May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers (collectively ...
Crypto for Advisors: Advisors and Crypto
CoinDesk via Yahoo Finance· 13 hours agoThe atmosphere was electric, with enthusiasm reaching new heights. FA/RIA Day: A Focused Learning Experience Thursday was dedicated to financial advisors...
Your ‘Independent’ Advisor Now Works for Private Equity. What It Could Mean for Your Portfolio.
Barrons.com· 2 days agoInvestment advisors pride themselves on having a personal relationship with customers, but...
Anson Funds, affiliate to pay $2.25M for fund disclosure violations
Compliance Week· 1 day agoDallas-based registered investment adviser Anson Funds Management and Toronto-based exempt reporting...
SEC and FinCEN Propose New Rule: Mandatory Customer Verification for Investment Advisers in 2024 |...
JD Supra· 22 hours agoThis proposed rule follows on the heels of a previous rule proposed by FinCEN on February 13, which would...
Summit Trail Advisors Recruits $3 Billion Team From BMO
Barrons.com· 2 days agoSummit Trail Advisors, a registered investment advisor firm that manages nearly $18 billion in...
SEC Tightens Cybersecurity Requirements with Regulation S-P Amendments
The National Law Review· 10 hours agoFor covered institutions (generally, broker-dealers, investment companies, registered investment...
Additional Services Key for RIA Growth Plans | PLANADVISER
PLANADVISER· 3 days agoIn a survey and interviews of 42 advisers who work for a registered investment adviser and transitioned to independence in the last 4 years, the firm found ...
Are Financial Advisors Too Bullish?
Barrons.com· 18 hours agoA new survey from Schwab highlights disparities in advisor and client outlooks, and at least one investment pro seems to side more with the client...
Private-Equity-Backed Arax Buys $1.7 Billion Denver RIA
Barrons.com· 3 days agoBEST PRACTICES Arax Investment Partners has acquired SRS Capital Advisors, a Denver-based registered...
