See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Many Wall Street firms are hurriedly reworking their plans, either pushing back the date when they expect staffers to return or requiring workers to get vaccinated.
As the U.S. confronts the Delta variant, many firms are updating their return to the office plans, in some cases postponing them, in others requiring vaccinations.
The SEC argued that ISC, with more than $1 billion AUM, also failed to self-report during the SEC's Share Class Selection Disclosure Initiative even though it was eligible to do so.
RIA consulting firm FP Transitions has tapped Scott Leak, whose institutional sales role at TDAI was cut in the wake of Schwab's acquisition, as a senior consultant.
Melanie Senter Lubin will succeed current President Lisa Hopkins, West Virginia’s senior deputy securities commissioner, after NASAA's annual meeting in September.
Charles Schwab's robo strategy for cash cost investors millions in the past six years. It's also a missed revenue opportunity for the discount brokerage, according to Backend Benchmarking's Robo Report.
