“An ounce of prevention is worth a pound of cure,” said Benjamin Franklin. It’s as true today as it was in the 1730s. Every firm needs to have its compliance in good order to prevent greater problems down the road. This week, we bring you Essential Edge on the SEC’s 2026 exam priorities, and Sid Yenamandra’s refresh on your regulatory obligations.
Webinar: The SEC’s 2026 Exam Priorities: What To Know And How To Prepare
Essential Edge’s Sander Ressler and Todd Spillane presented a webinar on the SEC’s 2026 exam priorities hosted by WSR’s Julius Buchanan.
Ressler and Spillane addressed the shifting needs of broker-dealers and RIAs in light of the SEC’s announced priorities for 2026, as well as FINRA’s current approach and priorities, covering a broad array of subjects including what’s new for 2026, how the SEC is approaching AI, cybersecurity and technology; retail protection, including the elderly; and fiduciary standards and Regulation Best Interest.
Regtech Surge: How Well Do You Know Your Regulatory Obligations?
In this month’s Regtech Surge column, Sid Yenamandra describes three basic elements of SEC and FINRA regulation: accurate books and records, written compliance programs, and fiduciary duties and disclosures.
Yenamandra urges that the use of AI tools must be combined with human expertise and judgement for firms to stay compliant.
Guide To Industry Conferences: Insurance
The latest installment in our annual Guide to Industry Conferences series covers the leading insurance conferences: Insurance Innovators USA, the Insured Retirement Institute’s Annual Conference and LIMRA’s Life Insurance and Annuity Conference.
Our guides help you decide which of the dozens of possible industry conferences work for you.
Oasis Group And Practifi Address CRM Selection In Research
Wealth management consultancy The Oasis Group released a white paper on CRM selection in wealth management, sponsored by Practifi, a CRM provider for financial advisors.
The white paper analyzes CRM decisions for financial advisory firms in terms of timeframes for implementation, workflow alignment and long-term data architecture.
WSRIA Roundup
This is the first installment of a newly launched roundup – the WSRIA Roundup – bringing all the top RIA stories of the past month into one convenient place.
This month’s roundup includes acquisitions by Corient, Choreo, Cetera, Beacon Pointe and Creative Planning; M&A reports by DeVoe and Berkshire; Elevation Point staking Forta; Farmers launching an RIA; and appointments by World, Hightower and Sowell.
Investments Roundup
This edition of the Investments Roundup features Janus Henderson acquiring Richard Bernstein; executive hires by iCapital and Envestnet; Morningstar’s generative AI index; private markets news from Empower, Blackstone, PBB, OneDigital and Hamilton Lane; iCapital acquiring Passthrough; and more.
Private markets news continues its strong showing in this latest Investments Roundup.
Deals & Recruiting Roundup
This week’s roundup covers acquisitions by Bluespring and CAPTRUST; research by ECHELON; McKinsey selling MIO; Cerity merging with Verus; Aerodigm launching; recruiting by LPL and Raymond James; Mariner partnering with State Street; and appointments by FMG, Composition and Mercer.
ECHELON confirms what Berkshire and DeVoe told us. Each uses unique methodology, and all report that 2025 was a record year for M&A.
FMG Acquired Testimonial iQ, Expanding Advisor Offering
Marketing and wealthtech firm FMG announced that it acquired Testimonial iQ in December, and will rebrand it as FMG Testimonials.
The acquisition adds Testimonial iQ’s testimonial and review tools to FMG’s services.
Bluespring Buys $2.3 Billion Massachusetts RIA
Kestra Holdings subsidiary Bluespring Wealth Partners announced the acquisition of RIA SHP Financial, a Plymouth, Massachusetts-based financial planning firm that oversees about $2.3 billion in client assets.
The purchase marks a significant expansion in New England for Bluespring.
Cerity To Merge With Verus Investments
Cerity Partners announced an agreement to merge with Verus Investments, an institutional investment consulting and advisory firm that provides services to clients with about $1.2 trillion in assets.
Instead of a typical transaction, Cerity looks to broaden its capabilities with the Verus merger.
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Wealth Solutions Report
