See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
Get the latest stories direct to your inbox - subscribe to the Morning Memo.
In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration clauses in contracts, arguing they could "mislead retail clients into not exercising their legal rights."
Firms ranging from Morgan Stanley and Raymond James to LPL Financial and Cetera Financial Group decried state regulators’ proposals, but non-profit law clinics representing small investors said NASAA was on the right track.
Toronto-based Wealthsimple has grown rapidly, with assets rising about 10-fold to C$25 billion since 2018, thanks in part to slick advertising and some Hollywood star power — celebrities Drake, Michael J. Fox and Ryan Reynolds are among its...
A final rule meant to “standardize” climate-related disclosures for issuers could also come in the spring, according to the White House Office of Management and Budget.
An employee value proposition may be the single most important tool in the war for talent, says Schwab’s Lisa Salvi, but professional development is gaining relevance.
