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Cambridge's new RIA sets floor to make a deal - InvestmentNews
InvestmentNews· 6 hours agoCambridge Investment Inc.’s new registered investment advisor business, BridgePort, is taking its...
SEC Settles Enforcement Proceedings Against Adviser Regarding Alleged “Pay-to-Play” Political...
JD Supra· 19 hours agoregistered investment adviser for alleged violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-5 thereunder ...
SEC Settles Enforcement Proceedings Against Adviser for Improperly Splitting Legal Fees with Mutual...
JD Supra· 19 hours agoOn April 29, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for alleged violations ...
SEC, Treasury Propose New Rules for Financial Advisors. The Goal Is Combating Money Laundering
Barrons.com· 7 hours agoThe SEC and Treasury Department’s FinCEN are proposing a new customer identification rule for ...
Edelman Adds $453M RIA in Pacific Northwest
WealthManagement.com· 9 hours agoEdelman Financial Engines, the registered investment advisor with more than $270 billion in assets under management, has acquired Soundmark ...
SEC, Treasury propose added anti-money laundering requirements for advisers
Pensions & Investments· 9 hours agoThe Securities and Exchange Commission and Treasury Department on May 13 issued a rule proposal aimed at combatting money laundering that would require registered
SEC Settles Enforcement Proceedings Against Five Advisers for Alleged Marketing Rule Violations | JD...
JD Supra· 19 hours agoOn April 12, 2024, the SEC announced the settlement of administrative proceedings brought against five registered investment advisers for alleged violations ...
Freestone Capital Management Hires Veteran Recruiter Nicole Bowers to Foster Continued Growth
WKRN Nashville· 13 hours agoFreestone Capital Management, a leading Registered Investment Advisor, announced today that Nicole Bowers has joined the firm's Seattle ...
Investment Advisers Face Customer Vetting Requirements in Anti-Money-Laundering Push
The Wall Street Journal· 6 hours agoU.S. regulators took another step on Monday toward bolstering anti-money-laundering safeguards with...
US financial regulators propose anti-money laundering rules for fund advisers
AOL· 12 hours agoThe new rules were proposed by the U.S. Securities and Exchange Commission and the U.S. Treasury Treasury's Financial Crimes Enforcement Network (FinCEN). In February, FinCEN proposed requiring ...
