“Technology” has felt like a buzzword for a long time now. As more of the financial industry continues to move online, the processes to set up logins, IDs and delegations can feel more complicated.
Congratulations to the winners and thank you to our judges for evaluating all the fantastic finalists in this year’s categories.
Ours is a world rapidly turning to outsourced over in-house labor. This is not a new trend as big corporations have been outsourcing work for years. However, it has affected other markets, and the finance industry is not an exception.
As we embark on a new year, we wanted to provide a list of basic compliance “must-knows.”
The SEC issued a Risk Alert on Dec. 16 outlining observations from examinations focused on advisers’ compliance with the Marketing Rule. These findings align with what we continue to see during examinations – the Marketing Rule remains a consistent area of regulatory focus.
Health Forward Foundation named Jim Casselberry as its next cio to oversee its approximately $908.7 million investment portfolio.
Colin Morris has joined Metis Global Partners as senior director of business development.
A total of 315 products were considered and managers were ranked based on the following criteria: excess returns over the benchmark, performance versus peers, product asset growth, product asset percentage growth and information ratio.
ADV season comes around each year like clockwork, often bringing the same kinds of questions and potential headaches. Every Registered Investment Adviser (RIA) is required to file their Annual ADV amendment within 90 days of their fiscal year end.
Hispanic-owned alternative asset manager Clearlake Capital Group has entered into a definitive agreement to acquire private markets solution provider Pathway Capital Management.
Our annual feature on the diversity pipeline into the finance industry.