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FINRA President Robert Cook reiterated the need for exams to remain remote into 2022, and said the rule may need to take a more risk-based approach going forward, he said, at SIFMA's Compliance & Legal Forum.
Within days of taking a minority stake in Verdence Capital Advisors, Emigrant announced its second deal this week, this time with Gerber|Taylor Capital Advisors.
The Sanctuary Wealth founder and CEO shares his firm's plans for the New York office, the Azimut investment, the possibility of adding Goldman Sachs as a custodian and international opportunities.