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US in the news: The Mather Group buys Chicago advice firm

A round-up of people moves and M&A deals across North America
M&A
The wealth management firm has acquired Chicago-based Trinity Financial Advisors (TFA).
This deal marks The Mather Group’s eighth acquisition in a little more than two years.
TFA has provided financial planning services for Chicago’s working and retired business executives, healthcare professionals, attorneys and entrepreneurs since 2000.
The financial terms of the deal were not disclosed.
People moves
Spearhead
The wealth management and administration solutions provider has named Alyson Kest as chief compliance officer and deputy general counsel.
Kest has more than 15 years of legal and compliance experience within the financial services industry. Most recently, she was the chief compliance officer and counsel for WBI Investments and its affiliates Millington Securities and Hartshorne Group. ....

Clear Lake , United States , New Jersey , West Des Moines , Newport Beach , Lindsay Arvin , Tom Ehrhardt , Michael Topinka , Kaitlyn Blaise , Raymond James , Daniel Tyburski , Carl Boomhower , Spencer Cox , Sam Bain , Brian Truscott , Alyson Kest , Amy Mcmillen Jay , Bainco International Investors , Morgan Stanley , Merrill Lynch , People United Bank , Hartshorne Group , Raymond James Financial Services , Mather Group , Alpha Wealth Consulting Group , Truscott Wealth Management Group ,

Top 10 Tips for Updating your Compliance Program for 2021 | Hardin Compliance Consulting LLC

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As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm’s compliance policies and procedures to reflect relevant changes to regulations and regulatory guidance. Here’s a cheat sheet for Chief Compliance Officers summarizing the SEC’s big-ticket items from 2020.
Despite the massive disruption caused by the COVID-19 pandemic, the SEC didn’t skip a beat, moving ahead with examinations, enforcement actions, and regulatory initiatives in 2020. The SEC’s Division of Examinations (the Division, formerly known as Office of Compliance Inspections and Examinations, or OCIE), shifted to remote examinations and focused on threats posed by COVID-19, such as fraud, insider trading, and inadequate disclosure. Although some deadlines and requirements ....

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