Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Former employees of Salomon & Ludwin claim they were under the protections of the Broker Protocol when they departed; they also cited concerns about the RIA’s culture and poor communication.
The American Council of Life Insurers, the Insured Retirement Institute and Finseca are among the plaintiffs in the newest suit against the Labor Department’s rule. This is the second suit filed against the rule in Texas this month.
How RIAs grow and manage that growth was a focal point of many speakers at Wealth Management EDGE at The Diplomat Beach Resort in Hollywood Beach, Fla.
The commission’s proposal will make it more difficult for clients “to use false identities to establish customer relationships” with advisors, according to Chair Gary Gensler.
