Feb 14, 2022

Fiduciary regulation and scrutiny is here to stay.

BlockFi to Pay $100 Million to SEC, States on Crypto Lending

Feb 14, 2022

BlockFi, which didn’t admit or deny the regulator’s findings, will pay $50 million to the SEC and another $50 million to 32 states.

Judge Finds California Advisor Liable for Stealing $2.2M

Feb 14, 2022

A California federal court judge found Mark Boucher and his company Strategic Wealth Advisor Group Services liable for stealing for more than $2.2 million from clients.

An Essential Roadmap for TAMP Users

Feb 14, 2022

A recent SEC Risk Alert means unprepared fiduciaries risk facing an uncertain road ahead.

Of Myths and Moving 2022

Feb 11, 2022

In a world that is evolving rapidly, it can be easy to hang on to misconceptions that may ultimately hinder success.

Family Offices Say Disclosure Plan Invites Theft, Kidnapping

Feb 11, 2022

Disclosing personal identifiers such as names and residential addresses, could endanger HNW families.

How Has the Pandemic Affected Finserv Compliance Teams?

Feb 11, 2022

Mature firms are initiating proactive compliance, going out and trying to determine what regulatory changes are coming and how they will impact the business.

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Connecting Health and Wealth in the Workplace

Feb 11, 2022

77% of employers are interested in integrated solutions.

Mindy Diamond on Independence: Why a $1B+ Multigenerational Merrill Team Left the Big Brand

Feb 10, 2022

Matt Liebman, founding partner and CEO of RIA firm Amplius Wealth Advisors, discusses the complexity of considering change with a multigenerational team, the difficulty of walking away from a big brand name, the concept of clients being the real ...