Staff continue to incorporate Reg BI compliance into the SEC's examination and enforcement processes; Commissioner Caroline Crenshaw believes this data will illuminate whether the rule is working as promised, or whether changes may be required.
Gen Y Planning's Sophia Bera details why she uses a one-page financial plan and an action checklist – not comprehensive financial planning software – to deliver ongoing financial planning value to her next-generation clientele.
iM Global will use the asset management firm, which has about $4 billion in assets under management, as an extension of its distribution subsidiary, iM Global U.S., and plans to keep the wealth management unit independent.