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 company is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.
August 25
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Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.
August 25
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Five experts helped FP compile a big list of potential deductions and strategies surrounding retirement plans and business entity structures.
August 25
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The Internal Revenue Service is giving people until 2026 to comply with a new requirement for Roth catch-up contributions.
August 25
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James Huang is a senior in accounting and president of the Beta Alpha Psi chapter at the University of Memphis.
August 25
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John Guthery, CFA, is chief investment officer at
FusionIQ , a multicustodial TAMP that helps advisors, organizations and investors navigate the complex world of alternative investments.John works with RIAs, broker-dealers, asset managers and their platforms to provide expert guidance on how to effectively implement alternative investments.
August 25
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The Canadian firm saw an 8% jump in its net income, but CEO Dave McKay foresees a "softer economic outlook" next quarter.
August 24
