One securities attorney said SEC staff will likely continue identifying firms that did not file and deliver their disclosure forms on time, saying it was the “lowest-hanging fruit” of CRS-related enforcement actions.
Five wealth management and financial services institutions addressed systemic racism and obstacles to Black wealth creation.
CI’s deal with Seattle-based McCutchen Group is its first in the Pacific Northwest, and it will expand the firm's footprint in the ultra-high-net-worth market.
Michael Townsend, Schwab’s managing director of legislative and regulatory affairs, also discussed SEC exam priorities, and the latest developments in D.C. for the estate and capital gains tax rates during a presentation at Schwab’s IMPACT...
The acquisition of Lake Point Advisory Group adds to Mercer's 'deep bench' in Texas, CEO Dave Welling says.