AUGUST 4, 2022

REGULATION AND COMPLIANCE

SEC Tells Advisors How To Address Conflicts of Interest

Patrick Donachie

The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.

FULL ARTICLE

RIA NEWS

Hub International Buys $2.3B RIA WealthPlan

Ali Hibbs

Hub International's latest acquisition will continue its Southwest expansion.

FULL ARTICLE

WHITE PAPER

Transitioning Your Practice the Way You Want

Sponsored by Commonwealth Financial Network

Explore succession planning options as an independent advisor.

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RIA NEWS

Edelman Financial Engines Acquires Smart Investor

Ali Hibbs

Edelman acquires a Northern California firm with small retirement plan capabilities as it moves to incorporate more M&A into growth strategy.

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RIA EDGE PODCAST

Jim Gold on Breaking the Mold in the RIA Business

Mark Bruno

The co-founder and CEO of Steward Partners discusses the biggest drivers of growth in his firm.

Sponsored by Schwab Advisor Services

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RESOURCE CENTER

Understanding RegTech: Manage the Increasing Complexity of Compliance

Sponsored by SS&C Black Diamond Wealth Platform

Explore the latest approaches for deploying RegTech solutions and how technology can lessen the burden associated with compliance.

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