Financial Advisor Blog - Page 84
December 6th, 2022
The Commodity Futures Trading Commission (CFTC) has announced that crypto whistleblowers should come forward following FTX Group's implosion.
Read More about CFTC Urges Crypto Whistleblowers To Come Forward
December 5th, 2022
As advisors develop social relationships within the high-net-worth community, they often find themselves going out to dinner.
Read More about ThinkAdvisor's Guide To Fine Dining With Clients
December 2nd, 2022
Advisors looking to transition from one firm to another firm must do so before December 22nd in order to avoid the Financial Industry Regulatory Au...
Read More about Recruiters Prepare for FINRA's Annual Pause on Processing Registration Requests
December 1st, 2022
According to a recent survey of industry compliance leaders, the Securities and Exchange Commission's (SEC) aggressive regulatory agenda is causing...
Read More about Financial Services Firms To Increase Compliance Staff
November 30th, 2022
A new study by CAIS and Mercer shows that nearly 90% of advisors surveyed plan to increase allocations to alternatives over the next two years.
Read More about Financial Advisors Increasingly Drawn To Alternative Investment Strategies
November 28th, 2022
According to a Letter of Acceptance, Waiver, and Consent (AWC), Theodore Serure has agreed to a four-month suspension and a $20,000 fine after borr...
Read More about Former J.P. Morgan Advisor Suspended By FINRA
November 23rd, 2022
The Bahamas Securities Commission has announced that it will freeze FTX Digital Markets assets.
Read More about FTX.com Assets Frozen By Bahamas Securities Commission
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