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The WealthStack Podcast: Unlocking Private Markets with AssetMark's Michael Kim

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 Marc Schechter RIA Q&A: What Was Behind Schechter’s Decision to Sell to Arax? Number 8860726.

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Top Compliance Challenges Financial Advisors Face

BlueMind

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

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Cerulli: Gen X Presents the Next Great Opportunity for Financial Advisors

Wealth Management

advisors’ clients, up from 20% in 2021, according to a survey Cerulli conducted in 2024. Number 8860726. They also make up the second biggest client base for financial advisors after baby boomers. As of year-end 2023, Gen X made up a quarter of U.S. In comparison, only 9% of advisors’ clients in 2023 were millennials or Gen Z members.

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Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA

Wealth Management

LifeBridge was started in 2016 and later grew when Jim Morrison joined Rudelson to create a combined firm with Bluespring in 2021 with offices in Houston and Waco. Number 8860726. SilverStar was started by Hudson in 1994 and became a Kestra affiliate in 2019, according to BrokerCheck.

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How To Register And Remain Registered With The SEC As An Internet Investment Adviser

Nerd's Eye View

A lot has changed over the ensuing 20+ years since the issuance of the Internet Adviser Exemption , and after observing numerous instances of non-compliance (and issuing a Risk Alert to that effect in 2021), the SEC issued an amendment to the Exemption on March 27, 2024.

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GIFT City: India’s Strategic Gateway to Global Finance

International College of Financial Planning

These institutions operate under international compliance norms, positioning GIFT City alongside global financial hubs such as Singapore, Dubai, and Hong Kong. Transparent Taxation and Compliance Operating within GIFT City allows investors to benefit from low transaction costs, international audit standards, and applicable DTAA benefits.

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Crypto Exchange OKX Targets Wall Street Listing Following U.S. Re-entry

Trade Brains

That February settlement resolved past compliance issues. However, COIN remains down 19% since its 2021 Nasdaq debut. They appointed experienced finance executive Roshan Robert as U.S. Previously, OKX settled with the U.S. Department of Justice for $505 million. The relaunch featured its centralised exchange and OKX Wallet.