SEC sets Nov. 19 virtual compliance seminar for advisers and funds
Enforcement's asset management unit is among the sponsors, and panel questions can be submitted in advance through the agenda.
Ensemble survey: RIAs above $1B lost 4.3% of clients in 2023, below $500M 1.4%
Philip Palaveev ties the 2.9-point gap to client-service employees who hold no equity stake.
Fidelity tells sub-$100M custody clients to move as Schwab stops short of a promise
The threshold counts assets held at Fidelity rather than total firm AUM, and Schwab cites the 11,000 micro-practices it already serves while stopping short of a promise.