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Commonwealth taps ex-LPL attorney for cybersecurity oversight
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
Kovack Securities dinged by Finra for A-share trades
The firm was fined $210,000 for falling short on its supervision of short-term mutual fund trades, the regulator said.
Women now integrate inflation into intuitive risk assessments
In the wake of the economic and social upheaval of the past two years, more factors play into women's assessments of risk
Mastering the use of social media for client prospecting
Financial professionals can reach a broader group of prospects — of all ages and in all locations — on their social media channels with fewer mechanics involved than planning an in-person event.
Scholarship targets people underrepresented in financial planning
The CFP Board Center for Financial Planning and Mission Wealth Management launched a program that will award $5,000 scholarships to students seeking the credential.
‘Wait, you can do that?’ 3 of the biggest eye-openers for breakaways
Here are some of the things about working as an independent adviser that may surprise those who've made the jump from a wirehouse.
Hightower leverages life of obscure artist to deliver message for women
A client event features the life and art of Suzie Zuzek, the woman who designed the fabrics used in Lilly Pulitzer's clothing line.
David Lerner’s latest proprietary fund snag
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
New regulations for the new reality
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Finra taps executive for board chair
Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.
CFP Board imposes interim suspension on barred rep
Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.
Geoffrey Brown stepping down as NAPFA CEO
The association's board will engage an interim CEO while it searches for a permanent successor.
The latest in financial #AdviserTech — August 2022
This month's roundup looks at Envestnet's acquisition of Redi2, Catchlight's new system to assess prospects and AssetMark's deal for Adhesion Wealth.
Creative Planning acquires $5 billion Wipfli Financial Advisors
The deal is the firm's third-biggest transaction to date, and CEO Peter Mallouk says M&A activity is ramping up because most RIAs aren't growing organically.
Wall Street banks’ record fines reflect regulators’ frustrations over unmonitored messaging
SEC, CFTC worried that messages were being completely lost and would ultimately make it harder to look for wrongdoing.
Fleming’s Rockefeller plans to double number of adviser teams
The firm, which currently has 85 teams, is focusing on growth in places that have seen influx of wealthy residents in recent years, such as Charlotte, North Carolina, and Austin, Texas.
B-D advisers had a soft landing in the first half, despite bear market
The S&P 500 was down almost 21% over the first six months of the year, but financial advisers at big firms didn't crash and burn.
Retooled scorecards will better measure women-led results, says new book
Women asset managers and corporate leaders assess risk and opportunity over a longer time frame, justifying new methods of measuring their results.
CFP Board cites 66% pass rate at July exam
Just 7% of the 2,596 people who took the CFP exam in July did so remotely.
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