The Wealth Advisor

Contributor

The Wealth Advisor is today’s most relied-on source of news and education for planners and advisors. We scan the news so you don’t have to, sending you what you don’t want to miss…but don’t always have time to find yourself without poring through dozens of publications. The Wealth Advisor sends you a handy once-a-week list of the most important news, hand-picked by our staff for its importance to investment advisors and their practices.

FINRA Re-Proposes Work-From-Home Supervisory Locations

Firms would be able to treat private residences as non-branch offices instead of OSJs under certain circumstances.

Investment Adviser Fined $50K for Compliance Lapses Following Founder/CCO’s Death

NY investment adviser will pay $50K fine. Required to hire independent compliance consultant for allegedly failing to implement compliance policies.

Alexandria Ocasio-Cortez and Elizabeth Warren Hunt Down Crypto Companies To Interrogate About SVB Deposits

US senators are demanding answers from crypto companies about their affiliation with the collapsed Silicon Valley Bank (SVB).

Biden’s Climate Law Exposes Mispriced Assets Due for Writedowns

Financial markets aren’t pricing in the heightened risk of mass writedowns across energy portfolios that’s implied by the Inflation Reduction Act.

Private Equity’s Latest Money-Making Trade: Buying Its Own Debt

Some of the world’s top private equity firms are scooping up the debt of their own portfolio companies from banks at steep discounts.