Sam Bojarski

Broker-dealers and advisors have operated in a regulatory gray area as to whether outside entities can receive transaction-based compensation without registering as a broker-dealer.

In the area of data security, ACA Group managing director Robert Baker said RIAs should expect a coming exam sweep related to Regulation S-P.

The Advyzon Investment Management Tamp is in 'hyper-growth mode,' Advyzon Investment Management CEO Lee Andreatta told Citywire.