We posed a hypothetical practice management dilemma facing an advisory firm to ChatGPT. Then we asked three experts to weigh in on the merits of the advice.
The commission's warnings are the first following the date firms were expected to be in compliance with the rules.
Women RIAs have the opportunity to create thriving, flexible workplaces that provide essential support for working moms and caregivers.
The SEC also filed charges against Douglas McKelvey, who was accused of stealing $1.7 million from the Morgan Stanley accounts of his mother and mother-in-law over a period of nearly 10 years.
Scott Bills considered himself a Merrill lifer. But as the firm changed and the desire to build a brand and better serve their clients grew stronger, he and his team decided to make the leap to independence, launching Nilsine Partners.
Even clients admit, “You should have done this sooner.”
The CEO and founder of Turnqey Labs provides advice on creating a firm culture that embraces inclusivity.
