CFP Board Approaches 100,000 Certified Professionals
The number of CFP professionals reached an all-time high of 98,875, with 2023 marking the most diverse class to date.
Tag: Advisers
Adviser Product Partnerships
Asure taps Vestwell to offer clients 401(k) benefit; NFP hires Ascend for insurance billing platform; NAIC and U.S. Bancorp partner...
Retirement Industry People Moves
Newfront hires Sakata, Nelson to retirement services team; Bartlett joins Choreo as SVP of advisers; startup AdvisorCheck taps former RIA...
New SEC Cybersecurity Rule a ‘Business Problem,’ Not Just IT or Legal, According to Experts
The new disclosure requirements for public companies will require time and resources to meet cybersecurity needs.
J.P. Morgan Fined $4M for Recordkeeping and Outsourcing Failures
The SEC penalty addressed recordkeeping issues including the early deletion of 47 million emails.
SEC Charges Pinnacle Advisors With Liquidity Rule Violations
The SEC complaint says Pinnacle knowingly mispresented the liquidity of some assets to satisfy liquidity requirements.
Adviser M&A To Stay Strong in 2023, but Expect Delays
Advisor Growth Strategies reports that dealmakers are getting more creative amid high interest rates.