FEBRUARY 9, 2022

REGULATION AND COMPLIANCE

FINRA Examiners Tout 'Effective Practices' To Solve Reg BI Shortfalls

Patrick Donachie

The regulatory authority’s “2022 Examination and Risk Monitoring Program” report also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.

FULL ARTICLE

TECHNOLOGY

Edmond Walters Joins YieldX Board of Advisors

Samuel Steinberger

YieldX has added wealth technology veteran Edmond Walters, founder of eMoney Advisor and Apprise Labs, to its board of advisors.

FULL ARTICLE

SPONSORED SURVEY

You're Invited to Share Your Insights! Win 1 of 4 $100 Starbucks Gift Cards

Can you help us with our quick survey, focused on the drivers of organic and inorganic growth for top-performing RIAs?

TAKE THE SURVEY

401KTV

401(k) Real Talk Episode 3: Feb. 9, 2022

Fred Barstein

Open, honest and candid discussions about the latest news in the RPA industry.

WATCH NOW

HIGH NET WORTH

IRS Issues Proposed Regs Regarding PFICs

Friedemann Thomma, Becca Chappell and Marianna Felshtiner

Certain elections available to U.S. taxpayers with direct interests in passive foreign investment companies will be impacted.

FULL ARTICLE

Advertisement