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The Bridge to a Hybrid Advisor

The Bridge to a Hybrid Advisor

Despite the early threat of robo-advice disrupting the wealth industry, experts now align on the notion that technology will not displace the wealth advisor. The emergence of a hybrid model […]

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PTE 2020-02 Retrospective Reviews

PTE 2020-02 Retrospective Reviews

Requirements of PTE 2020-02 To provide perspective on the annual retrospective review for exemptive relief under PTE 2020-02 (“the exemption”), it is helpful for context to review a summary of […]

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2 Years In Reg BI Exams and Regulatory Overview sm

2 Years In: Reg BI Exams and Regulatory Overview

InvestorCOM recently chatted with Issa Hanna from Eversheds Sutherland, Tom Selman from Scopus Financial Group, Ben Westin from Regulus Financial Group, and Randy Barnes from InvestorCOM to discuss the Regulation […]

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