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More SEC Compliance Staff May Be Needed to Meet RIA Growth

Jan 07, 2020

The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.

StoneCastle Drops Account Minimums for Cash Solution

Jan 07, 2020

The race to zero is catching on.

Dodd, Frank Take a Stand Against the SEC's Reg BI

Jan 07, 2020

Reg BI, at odds with Section 913 of the Dodd-Frank Act, cannot stand, the congressmen argue.

Opponents, Supporters Spar Over Massachusetts' Fiduciary Rule

Jan 07, 2020

A hearing in Boston this morning brought out advocates and opponents to Massachusetts Commonwealth Secretary William Galvin's proposed standard.

Goldman Revamps Divisions, Highlighting Consumer, Wealth Management Businesses

Jan 07, 2020

The bank is looking to move away from taking stakes with its own money and is trying to raise more client funds.

UBS Wealth Unit Revamp Gathers Pace With 500 Jobs Set to Go

Jan 07, 2020

The jobs UBS is planning to cut represent about 2% of the workforce in its global wealth management.

FourThought Private Wealth Leaves Wells Fargo FiNET, Relaunches as RIA

Jan 07, 2020

Pinkerton Private Wealth has been rebranded as FourThought Private Wealth.

Betterment Opens Denver Location

Jan 06, 2020

The new office marks the firm's second formal expansion outside of New York City.

Twenty Four Wealth Management Joins LPL Via Stratos Partnership

Jan 06, 2020

Twenty Four Wealth Management is partnering with Stratos in the hopes of broadening their organic growth and expanding with acquisitions.

Mariner Wealth Advisors Reels In Two Tax Practices

Jan 06, 2020

Mariner Wealth Advisors acquires two CPA firms to build out its tax offerings for clients.

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Industry

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.

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.