Beltway & Beyond

KEEPING YOU UP TO SPEED ON REGULATORY, LEGISLATIVE, COMPLIANCE AND LEGAL AFFAIRS

Keeping wealth management firms and other industry participants aware of regulatory, legislative, compliance and legal trends – And how to stay ahead of the curve.

Guide To Industry Conferences: Custodians

What You Need To Know About Pershing INSITE And Schwab IMPACT

By Jeff Berman

/ 20 May 2024

Jim Crowley, Global Head, BNY Mellon’s Pershing; Jeffrey Kleintop, Managing Director and Chief Global Investment Strategist, Charles Schwab & Co.

Digital Signature Fraud: The New Compliance Whack-A-Mole

Firms Need To Prepare For Increased Regulatory Focus And Evolving Fraud Methods For Digital Signatures

By WSR Newsroom

/ 13 May 2024

Don’t Make Major Portfolio Changes Due To Election Concerns, Experts Say

Ignore Short-Term Market Volatility Concerns And Stick With Your Plan, Janus Henderson, Morningstar, UBS Experts Say.

By Jeff Berman

/ 8 May 2024

Solita Marcelli, Chief Investment Officer Americas, UBS Global Wealth Management; David Sekera, Chief U.S. Market Strategist, Morningstar Research Services; Ben Rizzuto, Wealth Strategist,...

An Overview Of FSI’s 2024 Advocacy Priorities

The Independent Contractor Classification, SEC Rulemaking, Regulation By Enforcement, Standard Of Care, And Investor Education And Protection

By WSR Newsroom

/ 8 Apr 2024

Dale Brown, President and CEO, Financial Services Institute

Guide To Industry Conferences: Compliance, Governance And Regulatory

Get The Essentials On The FINRA Annual Conference, ComplyConnect Conference & Expo, MarketCounsel Summit, FSI Forum & Capitol Hill Day And FSI OneVoice

By Jeff Berman

/ 4 Apr 2024

Guide To Industry Conferences: Compliance, Governance And Regulatory

The SEC Is Coming, But Prepared RIAs Have Nothing To Fear

Compliance Isn’t A Moving Target – We Know What Regulatory Bodies Are Doing. Instead Of Waiting For The Other Shoe To Drop, RIAs Should Have Compliance Solutions In Place To Proactively Tackle Challenges Before They Arise.

By WSR Newsroom

/ 25 Mar 2024

The SEC Is Coming, But Prepared RIAs Have Nothing To Fear

How To Make Your Compliance Department A Strategic Partner

Concurrent CCO Describes A Collaborative Approach To Compliance And Three Steps To Establish A Compliance-As-Partner Culture

By Janeesa Hollingshead

/ 11 Mar 2024

Courtney Haddad, Chief Compliance Officer, Concurrent Investment Advisors

Video Interviews With Industry Leaders At FSI OneVoice

WSR Speaks With Adam Malamed, Alex David, Greg Cornick, Ananya Balaram And David Knoch

By Julius Buchanan

/ 6 Feb 2024

AAAA CEO Discusses Its Successes And The Coming Advice Crisis

Association Of African American Financial Advisors CEO Addresses Membership And Funding Growth And Explains Coming Financial Advice Crisis For Black Households

By Julius Buchanan

/ 2 Feb 2024

Christian Nwasike, Chairman of the Board & CEO, Association of African American Financial Advisors

Realta Execs Discuss Rebranding, Initiatives And HNW Space

Keefe And Helliker Discuss The Realta Name, Trends For High Net Worth Clients, Leadership Development, Service Changes And More

By Julius Buchanan

/ 2 Feb 2024

Kevin Keefe, CEO, Realta Wealth; Mark Helliker, COO, Realta Wealth

FSI Opposes SEC’s Regulation By Enforcement, Discusses Priorities

FSI Publishes Paper On Regulation By Enforcement, Will Also Focus On Independent Contractor Status And Standard Of Care In 2024, While Developing Next Gen And Diversity

By Julius Buchanan

/ 1 Feb 2024

FSI Opposes SEC’s Regulation By Enforcement, Discusses Priorities

Pershing’s Harrison On Advisor And Custody Trends

Pershing Executive Sees Strong M&A, Optimism For Transitioning Advisors And Opportunities In Custodial Space

By Julius Buchanan

/ 30 Jan 2024

Ben Harrison, Head of Wealth Solutions at BNY | Pershing

Beltway & Beyond

Guide To Industry Conferences: Custodians

Digital Signature Fraud: The New Compliance Whack-A-Mole

Don’t Make Major Portfolio Changes Due To Election Concerns, Experts Say

An Overview Of FSI’s 2024 Advocacy Priorities

Guide To Industry Conferences: Compliance, Governance And Regulatory

The SEC Is Coming, But Prepared RIAs Have Nothing To Fear

How To Make Your Compliance Department A Strategic Partner

Video Interviews With Industry Leaders At FSI OneVoice

AAAA CEO Discusses Its Successes And The Coming Advice Crisis

Realta Execs Discuss Rebranding, Initiatives And HNW Space

FSI Opposes SEC’s Regulation By Enforcement, Discusses Priorities

Pershing’s Harrison On Advisor And Custody Trends

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