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Pushing Reg S-P: SEC Adopts Amendments to Modernize and Enhance Regulation S-P | JD Supra
JD Supra· 1 day agoRegulation S-P governs how registered investment advisers, investment companies, broker-dealers, and transfer agents (collectively, “ ...
Financial advisors don't need to fear artificial intelligence, Betterment's Thomas Moore says
NBC San Diego· 6 days agoThomas Moore is the director of Betterment for Advisors. For registered investment advisors,...
New DOL Fiduciary Rule: Top 5 Facts Advisers Should Know | PLANADVISER
PLANADVISER· 5 days agoQuestion: I am a registered investment adviser who provides advisory services to individuals....
Retirement Industry People Moves – 5/17/24 | PLANADVISER
PLANADVISER· 4 days agoMercer Global Advisors Inc., a registered investment adviser firm, announced that Martine Lellis, currently the chief talent officer ...
FinCEN (and SEC) Propose New Customer Identification Program Rule With Minimal Expected Impact on...
JD Supra· 4 days agoSimilar to the AML/CFT program rule, the Proposed Rule would cover both SEC-registered investment advisers and exempt reporting advisers and apply equally ...
Customer Identification Program Requirements for Investment Advisers | JD Supra
JD Supra· 5 days agoThe CIP ...
SEC Releases a Ton of Data on Financial Advice Firms. Here Are 4 Remarkable Stats.
Barrons.com· 20 hours agoFrom total number of firms and employee count to the steep rise in assets under management, the...
Go Ahead and Take a CIP: SEC and Treasury Department Propose New Regulations for Investment Advisors
The National Law Review· 6 days ago...Enforcement Network (FinCEN) jointly proposed rulemaking to implement section 326 of the Uniting...
The wealth management industry faces a labor shortage. Can AI fill in the gaps? - Orlando Business...
The Business Journals· 7 days agoPower. St. Petersburg-based Dynasty Financial Partners, a wealth management platform for independent...
Fidelity Go Review 2024: Pros, Cons and How It Compares - NerdWallet
Nerdwallet· 1 day agoHuman portfolio oversight: The day-to-day investment and trading decisions for portfolios are handled by a team of humans from Strategic Advisors, a < ...
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