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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.
Silvia Tergas’ journey into financial planning was not easy. But her father, who escaped from Cuba during the Cuban Revolution, and the lessons he taught her paved the way.
