The addition of Atria Wealth and Prudential Advisors also helped LPL's total advisory and brokerage assets soar by 29% in 2024, though income slipped 1%, the firm said Thursday. Bitwise received approval for a joint fund for its 19b-4 form and awaits approval for the S-1 registration application ...

Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are not interrupted in the event of a cybersecurity issue involving a third-party vendor, Finra says. Among the lobbying group's other advocacy priorities are regulatory ...

1 天前 · UBS Braces for FA Attrition over Comp Changes. The wirehouse’s CFO said on Tuesday that the firm expects some advisors to leave in response to recent compensation changes and that the firm has adjusted its 2025 financial targets accordingly.

6 天之前 · LPL's Atria, Prudential Deals Fueled 27% Boost in FA Ranks. The addition of Atria Wealth and Prudential Advisors also helped LPL's total advisory and brokerage assets soar by 29% in 2024, though income slipped 1%, the firm said Thursday.

2025年1月29日 · Beware Outsourcing’s Security Risks, Finra Says. Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are not interrupted in the event of a cybersecurity issue involving a third-party vendor, Finra says.

2022年4月14日 · UBS, Vanguard, Schwab, Northwestern Top Investor Satisfaction. Overall, however, advisors are behind on delivering comprehensive advice, possibly as a result of relying too much on digital tools, according to J.D. Power.

Hannah Glover is a Group Managing Editor at Money-Media, overseeing several asset management and governance titles including Ignites, FundFire, BoardIQ, Agenda, Financial AdvisorIQ, Ignites Europe and Ignites Asia.She joined the FT Specialist unit as a reporter in 2007 and has worked as managing editor at Ignites and sister publication GatekeeperlQ.

2025年1月21日 · LPL to Pay $18M over AML Flubs. LPL Financial failed to close or restrict thousands of "high-risk" accounts, including cannabis-related and foreign accounts, that were prohibited by its anti-money-laundering policies, the SEC said.

2024年9月17日 · Why Edward Jones is 'Stuffing the Product Shelf' The firm is aiming to address a wider range of client needs while increasing customization and flexibility, an Edward Jones executive told FA-IQ.

2024年1月4日 · Schwab Joins Critics Urging Withdrawal of DOL Fiduciary Rule. Peter Morgan, Schwab’s general counsel and managing director, says the current proposal is likely to meet the same fate as the Obama-era fiduciary rule that was vacated in the courts in 2018.