FINRA-regulated firms say the industry is prepared to conduct proper supervision virtually on a permanent basis after the pandemic ends; state securities regulators and others worry about what could slip through the cracks without physical inspections.
In a complaint filed Thursday, Attorney General Xavier Becerra's office said AwesomeCalls offered its members investment advice without being registered at the state or federal level.
More RIAs are building career paths for their client service and operations staff as well as paths to ownership to retain and recruit top talent, according to a recent Schwab report.
Join us for a three-part educational series as we help you navigate the many issues, tradeoffs, and opportunities available to you as you look to the next chapter in your career. A complimentary valuation will be offered from the Mercer Advisors experts to webinar registrants. Webinar 1 begins March 9th at 2pm ET / 11am PT.
