The Latest

Sichel is a partner in K&L Gates LLP’s New York office, where he is a member of the Investment Management practice group and oversees the ERISA Fiduciary practice.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

Derek Burke discussed the Advisor Group firm’s upcoming digital offering and his top priorities.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

Asset allocation is the glue that connects and aligns an investor’s goals and strategies.

Jessica Iorio is the executive director of The Bapis Group at HighTower in New York.

Megan Frey is the executive regional manager for Voya Employee Benefits’ Pacific Northwest Sales team in Seattle, Washington. A millennial, she started her career with Voya Financial in 2009 as part of the Atlanta-based employee benefits sales team and worked her way up to senior sales representative before moving to the West Coast.

Managers in the space have been raising cash at their fastest pace since 2013.