Tag: investment advisers

The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting.

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment...

Registered investment adviser headcount and assets hit another record in 2023, according to the Investment Adviser Association and COMPLY.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.

The rule violation announcement is the second the regulator has issued in a ‘targeted’ effort, even as it seeks public...

The regulator calls the charges a ‘warning’ to investment advisers about how they can market offerings.

Investment advisories rank the marketing rule as the ‘hottest’ topic for the third year in a row, followed by cybersecurity...

The uptick occurred even as assets under management fell for the first time since the 2008 financial crisis, according to...

Hartford Funds launches new factor-based equity ETF; BenchMine creates free search engine for 401(k) industry plan data; and Corebridge Financial...

DPL partners with Corebridge Financial on RIA advisory annuity solutions; Fidelity Institutional enhances adviser technology; Choreo partners with Pontera on held...

MarketVector announces partnership with portfolio-as-a-service provider; J.P. Morgan Wealth Management launches remote investing advice; T.Rowe Price launches floating rate ETF;...

Voya adds private equity investment option to NQDC offering; MSCI expands Implied Temperature Rise Metrics to funds and indexes; John...

Schwab Advisor Services expands ability for matchmaking between adviser firms; TradeUP adds fractional shares to its online trading patform; Envestnet...

Bloomberg launches global aggregate green, social, sustainability bond indices; AllianzIM expands lineup of U.S. large cap buffered ETFs; Morningstar Direct...

Betterment launches cryptocurrency offering; MSCI launches index for investors seeking net-zero transition progress; Prime Trust launches all-in-one IRA solution after...

The Standard partners with Noyo to modernize the customer experience; Abel Noser Solutions and OWL ESG partner to offer ESG...

Milliman launches enhanced retirement security projection tool; Wealthcare launches new enhancements to its patented Comfort Zone; T. Rowe Price introduces...

Schwab expands institutional no transaction fee fund offering for independent advisers; Vanguard announces changes for Vanguard International Explorer Fund; Hearsay...

OneAmerica and intellicents collaborate on client offering; AdvisorEngine introduces data visualization dashboards; Savvy Ladies receives grant to develop mobile portal advancing...

New York Life launches Wealth Plus; Vanguard to liquidate U.S. Liquidity Factor ETF; John Hancock Investment Management announces ETF lineup...