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 information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.
April 6
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Eugenie Casier is director of governance, risk and compliance for Clausematch.
April 6
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The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.
April 6
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Plus, Savvy Wealth launches a direct indexing tool, AssetMark adds experience to its roster and Asset-Map teams up with Morningstar.
April 6
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A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.
April 6
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The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.
April 5
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W. Michael Hsu, CPA, is founder of DeepSky, an outsourced CFO service known as the Accounting Department for Entrepreneurs. After 10 years of building a financial consulting firm and working with entrepreneurs advising their multimillion-dollar businesses through systems and processes, Hsu has taken his experience in entrepreneurship and condensed it into a methodology named
Measure x Hack to serve as a guide to building a successful business, life, and relationship.April 5
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The program, offered by a financial wellness coaching service, joins a burgeoning patchwork of wealth management support systems for student-athletes.
April 5
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The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.
April 5
