Wealth Management industry news covering the financial markets, trends and wealth professionals.
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The brokerage regulator argued the firm’s automated process for approving options traders on its self-directed platform missed instances where clients submitted applications with conflicting information.
Vanilla co-founder Steve Lockshin details the nuances surrounding NIL deals and the foundational estate planning strategies every individual, regardless of fame, should consider.
Also, a new F2 Strategy study suggests firms must be responsive to digitally native affluent millennial clients to keep their business and MyVest expands tax-aware portfolio transitions for its Strategic Portfolio System.