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Number of investment advisors hits record high

The number of investment advisors hit a record high in 2022, as did total employment in the sector, while assets under management declined.

John gebauerGary genslerKaren barrNational regulatory servicesInvestment adviser associationExchange commissionAdviser industry snapshotDevolution revolutionCapitol hill

IAA AND COMPLY INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR

IAA AND COMPLY INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR
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Capitol hillDistrict of columbiaUnited statesKaren barrNational regulatory servicesInvestment adviser associationExchange commissionInvestment adviser industry snapshotInvestment adviserClient baseHedge fundsJohn gebauerRegulatory services

IAA AND COMPLY INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR

IAA AND COMPLY INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR

Capitol hillDistrict of columbiaUnited statesKaren barrExchange commissionInvestment adviser associationNational regulatory servicesInvestment adviser industry snapshotInvestment adviserClient baseHedge fundsJohn gebauerRegulatory services

SEC Fines HSBC, Scotia Capital $22 5M Over Messaging Violations

HSBC Securities and Scotia Capital will pay $15 million and $7.5 million respectively to settle SEC charges concerning "off-channel" communications.

United statesJohn gebauerGurbirs grewalMorgan stanleyEnforcement divisionCommodity futures trading commissionRegulatory servicesScotia capitalDivision director gurbir

COMPLY portfolio brands RIA in a Box and NRS annual compliance review guide and webinar to provide investment advisers with key strategies regarding SEC rule

/PRNewswire/ RIA in a Box, the leading partner for comprehensive RIA compliance, in partnership with fellow COMPLY portfolio firm NRS, has announced the.

John gebauerExchange commissionRegulatory affairs ann hauerlandRegulatory officer johnSuccessful annual compliance reviewXbox directorCompliance chadXbox headRegulatory affairs annEducation marilynRia ina box