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Five Insights into the Advisor-Client Relationship during COVID-19

At the start of summer, we interviewed financial advisors and leaders at wealth management firms to learn how they were responding and adapting to these unprecedented times as highlighted in our blog post—Many Rivers to Cross: How Wealth & Retail Firms are Navigating this New World Order. Common themes emerged from these conversations including: surmounting technological challenges, maintaining company culture Continue Reading

Securities Class Actions Landscape: Three Trends from H1 2020 for Wealth Managers

Cornerstone Research recently published its Securities Class Action Filings 2020 Midyear Assessment. This blog post distills some of the key findings from that report. All trends information and figures are attributed to Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse. Trend #1: Filings are down from last year but remain higher than historical averages In the first Continue Reading

What Regulation Best Interest Means for Wealth & Retail Managers

Last month, despite the market disruption caused by the global pandemic, the SEC announced they had no plans to extend the June 30, 2020 compliance deadline for Regulation Best Interest. This decision may present challenges for firms who have had to divert resources from Reg BI readiness towards addressing the impact of Covid-19 on business operations. For firms who are Continue Reading

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Our Authors

avatar for Andrew LaskyAndrew Lasky

Product Marketing Manager

avatar for Jenn RothenbergJenn Rothenberg

VP of Marketing

avatar for Katie WeintraubKatie Weintraub

Senior Product Marketing Manager

avatar for Mike LangeMike Lange

Securities Litigation Counsel

avatar for Rob AdlerRob Adler

Chief Executive Officer

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