State regulators propose model rule for advisers’ written policies, procedures

The measure would cover supervision, cybersecurity and business continuity, among other areas
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Tech tools fall flat among advisers: J.D. Power survey

While firms are investing heavily in technology, many have missed the mark on delivering the best experience
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GPB takes millions in fed loan money while under investigation

GPB Capital and related businesses get between $3 million and $7 million in Paycheck Protection Program loans
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Sequoia Financial joins the private equity party

The $4.7 billion RIA will use the influx of new capital for a “durability plan” and to make acquisitions
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Podcasts and prospecting

Podcasts may not generate as many leads as radio shows, but they’re still a valuable tool
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