More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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The research-driven program recognizes money managers with superior company practices, programs and benefits.
May 29
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The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.
May 29
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Mike DeKock is founder and CEO ofMJD Advisors , a compliance company fighting the mindset that compliance is complicated by offering simple, exciting and straightforward solutions to complex challenges.May 28
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A young engineer hopes his investments will grow, not his tax bill. What can he do to ward off Uncle Sam?
May 28
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Firms' aggressive pursuit of repayment of recruiting loans is likely a reflection of how massive some recruiting deals have become in recent years.
May 28
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Qualified small business stock carries major potential savings for startup founders and investors, but the benefits come with some important caveats to keep in mind.
May 28
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Beth Haddock is chief legal officer for wealthtech leader AdvisorEngine and an independent board director and advisor for emerging tech leaders.
With over 25 years of experience leading the design and successful implementation of modern governance programs, she fosters a culture of risk ownership, partnership and creative problem-solving, repositioning governance and compliance as powerful business drivers. She is the author of "
Triple Bottom-line Compliance: How to Deliver Protection, Productivity and Impact " and is an active industry leader, serving as co-chair for the Web3 subcommittee of the Digital Tech Taskforce for the New York City Bar Association, the Regulatory Advisory Committee for the National Society of Compliance Professionals and on the Advisory Board forADVISE AI .May 28
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Raymond Leclercq is CFO of
Board International , a provider of intelligent planning solutions for analytics and reporting to ensure companies are tracking and sustaining their ESG promises.May 28
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Difficulties loom over syncing U.S. stock exchanges with global transaction cycles.
May 28
