Independent advisers need to clearly explain how their team combines functions with external oversight to ensure full independence for the client and the firm.
In a crowded market, active ETFs stand out as a versatile solution, generating income and growth for clients, while retaining flexibility for advisers.
Private equity firms promise capital, tech and talent, but do those resources come with strings that could change how you serve your clients and run your firm?
SEC and CFTC propose hiking Form PF thresholds from $150 million to $1 billion, exempting nearly half of filers while keeping 90% asset coverage. Streamlines cut burdens from prior expansions. Industry hails relief; comments due soon.
