New Apex Clearing President Tricia Rothschild discusses Robinhood, robos and the move away from products and toward client services in wealth management.
With the rise of digital advice and regulatory scrutiny driving an increased demand for transparency, today’s advisors face unique challenges in client acquisition and retention.
FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.
