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Technology key for both advisers and investors according to Avaloq report
Findings highlight opportunities and challenges abound in a rapidly evolving ecosystem.
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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Activist investor Macellum Advisors hit with $75k penalty for failing to disclose third-party payments
The firm was accused by the SEC of failing to disclose potential conflicts of interest resulting from the fees it received from outside investors.
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Mock exams – your questions answered
The challenges and opportunities of preparing for a mock SEC examination.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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Off-channel communication now top compliance concern, says IAA survey
Marketing comes in second place, with artificial intelligence appearing for the first time to complete top three.
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SEC and FinCEN extend customer identification program obligations to IAs
The new rule will require investment advisers to implement procedures to verify the identity of customers and maintain records supporting verification.
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ASIC roundup: JP Morgan Securities fined A$775,000, and false documents
The Australian Securities & Investments Commission’s latest actions and news, May 6 – 10, 2024.