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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. ....

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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 Hill , District Of Columbia , United States , Karen Barr , National Regulatory Services , Investment Adviser Association , Exchange Commission , Investment Adviser Industry Snapshot , Investment Adviser , Client Base , Hedge Funds , John Gebauer , Regulatory 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 Hill , District Of Columbia , United States , Karen Barr , Exchange Commission , Investment Adviser Association , National Regulatory Services , Investment Adviser Industry Snapshot , Investment Adviser , Client Base , Hedge Funds , John Gebauer , Regulatory 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 States , John Gebauer , Gurbirs Grewal , Morgan Stanley , Enforcement Division , Commodity Futures Trading Commission , Regulatory Services , Scotia Capital , Division 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. ....

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