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Carlo di Florio, president of the industry compliance consulting firm ACA Group, said SEC Chair Nominee Paul Atkins’ approach to digital assets “would be one of the most important legacies” he’ll leave should he be confirmed.
The Market Outlook features industry outlooks, market forecasts, educational content, and best practice ideas—all tailored to help financial advisors plan and succeed in the year ahead.
According to FINRA, the firms failed to supervise whether clients could benefit from fee waivers or rebates on certain mutual fund purchases. The settlements stemmed from a targeted exam launched in 2020.
