See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.
The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.
Former CFTC Director Gary Gensler will lead the team charged with examining the SEC, Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation, the Federal Reserve and the National Credit Union Administration.
The analysis from the SEC's Office of Compliance Inspections and Examinations said home offices needed to ensure that policies were communicated and implemented across all branches.