The number of pro bono legal clinics for retail investors harmed by bad investment advice has fallen dramatically over the past decade, leaving many small-dollar claimants to face arbitration panels alone or, more often, do nothing at all.
As C. Dabney O’Riordan departs the SEC's Asset Management Unit for Quinn Emanuel, she spoke with WealthManagement.com on what the industry can expect from regulators in the coming year around enforcement of new rules: "I expect the SEC is going to want to send a message."
Sponsored by The American College of Financial Services
While many independent advisors see professional designations to be key to business growth, they also serve as a great tool to help build reassurance and legitimacy with clients.
FP Alpha's Andrew Altfest and TIFIN Wealth's Niharika Shah discuss how AI can help advisors run a better business, delight clients and streamline their operations.
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