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SEPTEMBER 20, 2022

REGULATION AND COMPLIANCE

Morgan Stanley Pays $35M SEC Fine Over Data Security

Tom Schoenberg

About 15 million clients’ details were compromised over a five-year period starting 2015.

FULL ARTICLE

RIA NEWS

Mariner Wealth Advisors Adds $256M Executive Wealth Counselors

WealthManagement.com Staff

The Pittsburgh office will become Mariner’s 77th US location, and its seventh acquisition so far this year.

FULL ARTICLE

RESOURCE CENTER

Using Volatility Expectations for Successful Option Trading

Sponsored by Nasdaq

Learn how to create systematic approaches to NDX as well as choose the best options relative to an individual's outlook.

REGULATION AND COMPLIANCE

SEC Examiners to Look for 'Reasonably Designed' Policies Under New Marketing Rules

Patrick Donachie

In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. 4 compliance date.

FULL ARTICLE

REAL ESTATE

Family Offices Turn Focus Away from Office Towers and Toward Industrial

Patricia Kirk

Recent U.S. acquisitions by Amancio Ortega’s Pontegadea are representative of a broader shift in family office investment preferences.

FULL ARTICLE

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