Supreme Court muddies regulatory authority of SEC and DOL

Supreme Court muddies regulatory authority of SEC and DOL

Federal agencies could be more easily defeated in court over their interpretations of laws passed by Congress.

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Ex-Sanctuary CEO Jim Dickson launches new firm for growth-focused RIAs

The venture co-founded with Mark Penske, which will take strategic stakes in independent partner firms, is starting strong with a deal to snap up a $3.4B OCIO.

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AssetMark to snap up multibillion-dollar TAMP business from Morningstar

The strategic alliance will see $12B in TAMP assets switch hands, with more advisors and clients gaining access to AssetMark’s industry-leading platform.

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Why transition planning for Asian clients is ‘very complex’

Maggie Liu is on a mission to make the community more prominent within the profession.

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Critics question Finra as watchdog’s caseload plunges

Enforcement actions hit an all-time low last year while fines plummeted to half of 2016 haul, raising doubts about its effectiveness.

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Former head of Osaic B-D lands at AssetMark

Desiree Sii is joining AssetMark Financial Holdings Inc., the turnkey asset management platform, as vice president, head of strategic accounts.

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