See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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After delaying reopening for face-to-face arbitration and mediation because of the COVID-19 pandemic, the regulatory agency will allow such proceedings at 62 of its 69 hearing venues starting July 5.
Citing 'fiduciary responsibilities,' Riskalyze CEO Aaron Klein is publicly targeting the 'wildly inaccurate' and 'predictive guesswork' of his competitors.
Damian Lo Basso, formerly of CFO Solutions and Dynasty Financial Partners, will be the fourth partner of Journey Strategic Wealth, launched earlier this year.
In a testimony before the House Committee on Financial Services, the new SEC Chair noted the regulator would evaluate Reg BI, and "update and freshen" it if need be.