Both Crestone Asset Management and IPG Investment Advisors cited the economic impact of COVID-19's spread, and disclosed the loans in newly-updated Forms ADV submitted to the SEC.
Remote Compliance Challenges during COVID-19 Achieving Reg BI compliance is even more challenging with dealer compliance teams working virtually. Join our Webinar on May 27 at 11 am ET to hear industry experts from Scopus Financial and Regal Financial discuss how wealth management firms can adapt to the new work-from-home realities and maintain strong compliance and record-keeping practices. REGISTER TO ATTEND
Ohio-based Wealthquest said it hoped to use the loan to retain its staff and fund payroll costs and health and insurance benefits for employees, according to an updated Form ADV submitted to the SEC.
During these times of social distancing, declining revenues, and custodians changing hands, merging or going out of business, join us for an insightful discussion with industry technology leaders to learn how top advisors are responding.
