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Seeking Best Execution: Understanding The SEC’s Expectations For Advisors To Deliver Best Outcomes For Clients

Nerd's Eye View

Notably, much of the language from the 1986 SEC Interpretive Release was later reiterated in a 2018 SEC Risk Alert and a 2019 SEC Interpretation. The SEC, in its interpretive release, sets an expectation of "periodic and systematic evaluation" (i.e.,

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Charitable Giving: Helping to Ensure Compliance and Maximize Impact

Carson Wealth

According to a report from the consultancy Altrata , charitable contributions from ultra-high net worth individuals increased by almost 25% between 2018 and 2022 , illustrating a growing trend of philanthropic engagement. The post Charitable Giving: Helping to Ensure Compliance and Maximize Impact appeared first on Carson Wealth.

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Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA

Wealth Management

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all thumbnail Career Moves J.P. Number 8860726. Morgan Names New Global CEO of Private Bank J.P.

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Distributions of Stock in a GRAT Don’t Trigger Insider Trader Rules

Wealth Management

Number 8860726. Estate Planning Legal Battle Over the Control of Jimmy Buffett’s $275M Estate Heats Up Legal Battle Over Jimmy Buffett’s $275M Estate Heats Up Jun 18, 2025 Sign Up for Newsletters Sign up to receive the latest insights, trends, and analysis.

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: U.S. Treasury and the Fed fine Wells Fargo $98 mln for inadequate oversight of sanctions compliance

MarketWatch

million total — is for “unsafe or unsound practices” related to historical inadequate oversight of sanctions compliance risk at its Wells Fargo Bank N.A. trillion asset cap that was placed on it in 2018 by the Fed. WFC a combined $97.8 million for “deficient oversight” that allowed the bank to allegedly violate U.S.

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Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December

Carson Wealth

In the past decade it has been only the 10 th best month, thanks in part to a 6% drop in 2022 and a 9% crash in 2018. Compliance Case # 02531673_120224_C The post Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December appeared first on Carson Wealth.

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Market Commentary: Stocks Hit New Highs Amid a Year of Milestones

Carson Wealth

6 million level we saw in 2018-2019. million level we saw in 2018-2019. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth. These levels are not a bad place to be if things can hold at this level, but its the trend thats concerning.