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Summary: Many investment advisors broke out in a cold sweat when the SEC announced in May 2021 that the landmark marketing rule the agency had approved the previous December would go into force on Nov. 4, 2022.
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Summary: The older generation of advisors is aging out. With them go many valuable lessons, especially regarding client retention.
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Summary: The financial advisor job is more than just crunching numbers. It’s about understanding individual goals and needs, building a relationship based on values, and offering sound advice tailored to each client’s unique circumstances.
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Summary: Out of a pool of nearly 100 applicants, seven companies were selected for the “Fintech Demo Drop” at Future Proof, which returns to Huntington Beach, California, in September. The finalists will receive digital promotions from the event, scheduled meetings with qualified financial advisors and firm executives, and stage time to demonstrate their products at Future Proof, which expects to draw more than 3,000 attendees, including 2,000 financial advisors.
Added on July 2023 in M&A Issues
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Summary: U.S. antitrust agencies stepped up the Biden administration’s crackdown on mergers and acquisitions with a sweeping overhaul of rules the government uses to determine whether deals violate competition law.
