181 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements Increased 59% over the past 30 days

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SEC issued enforcements: $65,449,488.80 over the past 30 days

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128 Final Rules go into effect in the next 30 days

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21 Mortgage Lending docs published in the last 7 days

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7596 docs with 9937 extracted obligations from the last 7 days

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90 new Proposed and Final Rules were published in the past 7 days

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6040 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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july, 2019

16julallday17In|VestInnovations in Investing, Saving, and Advice

Event Details

Wealth management is changing dramatically as the industry’s traditional leaders and new players bring enhanced offerings—both front end and behind the scenes, to retail customers and advisers. These new platforms offer better user experience, more investment options, transparency, and reduced fees.

In|Vest brings together technology and strategy executives from across the entire wealth management community to explore the changes in the market and offer a digital vision of the future.

Time

july 16 (Tuesday) - 17 (Wednesday)

Location

New York Marriott Marquis

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