What You Need to Know
Fresh off the launch of Onramp Invest, the crypto platform for advisors was selected to join Visa’s Fintech Fast Track program.
Foreside Financial Group acquired the compliance consulting practice of Golden Bear Consulting Group.
The Hearsay for Salesforce managed package launched on Salesforce AppExchange.
Regtech firm ComplySci received a growth capital investment of about $120 million from private equity firm K1 Investment Management, the companies said in a joint announcement Thursday.
ComplySci partners with C-suite teams and in-house compliance, legal and technology professionals to deliver technology-enabled employee compliance solutions for RIAs, broker-dealers, hedge funds, private equity firms, venture capital firms and other businesses across the financial services sector.
There are no shortcuts to building consumer trust, writes Tim Sargisson. But getting the basics sorted, such as complying with SM&CR and other regulatory diktats, is a good place to start
• NAV at the year end of 44.41p per share (2020: 46.35p), after dividend payments totalling 3.00p per share during the year
• Deployment of £6.91 million during the year, including new investments in 20 private and AIM quoted companies
The financial year to 28 February 2021 has been a period of significant challenge and uncertainty dominated by the COVID-19 pandemic. This public health crisis has had a wide-reaching impact across our society, and the Directors thoughts are with all of those who have been affected.
Despite the economic disruption experienced during the year, it is encouraging to report that your Company has continued to make positive progress, with NAV total return increasing to 144.32p per share. This reflects the strength and resilience of the investee portfolio, where most companies successfully adjusted their business models to enable them to continue to operate under the lockdown restrictions. Further progress
The UK Financial Conduct Authority (FCA) has recently announced that it is considering adding a sixth question on diversity and inclusion (D&I) to its five conduct questions (5CQs). The.
Does it matter what advisers are called?
The public need advice more than ever but remain confused over the options. Are advisers’ titles important, and is there a definitive term anyway?
By Justin Cash 5
th May 2021 10:23 am
“Are you the Judean People’s Front?” the server asks. “F k off,” comes the terse response. “We’re the People’s Front of Judea.”
It is an iconic scene many readers will recognise from Monty Python’s Life of Brian. The film is more than 40 years old, but the fight over substance and semantics is not dissimilar to the battle in which the advice profession finds itself today.