The RIA space will likely see a resurgence in M&A activity in the second half of this year, while 2021 could be the biggest year yet, said M&A players, speaking at Riskalyze's Fearless Week virtual conference.

The SEC release asked firms to keep an eye on business continuity, employee supervision and the protection of sensitive investor information during the pandemic.

Brea, Calif.-based PSM Private Wealth Management and San Diego-based California Wealth Transitions have joined forces.

The advisors at Equitrust Financial Group felt it would be in clients’ best interest to affiliate with a publicly traded b/d with self-clearing capabilities.

Advisors could have better prepared clients for the chaos by relaying the inevitability of unforeseen events and finding ways to mitigate their impact, according to panelists at Riskalyze Fearless Week.

Along with the bonus disappointments, Wall Street should also brace for job cuts of as much as 10%.

FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.

For years, banks and funds have talked about the benefits of bringing in a wider set of perspectives, but the data show they’re still falling short.

Transferring clients' assets from mutual fund and annuity platforms to a broker/dealer's is highly disruptive, involving burdensome new account documents, lengthy processing delays and, frequently, significant incremental costs.