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The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.
August 24
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World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.
August 23
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Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.
August 23
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The firm follows its major move to the Midwest by expanding its executive leadership team.
August 23
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The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.
August 23
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A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.
August 22
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The private equity-backed consolidator led by Peter Mallouk opened a new unit after acquiring a different Twin Cities-area firm earlier this summer.
August 22
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It's a good time for savvy financial firms to scan for the right teams to onboard.
August 22
Integrated Partners -
The move comes as LPL boasts hefty profit gains in earnings and Kestra struggles with debt.
August 21
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A sale of the business bought four years ago would undo another part of CEO David Solomon's ill-fated move into managing money for a wider array of clients.
August 21
