From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: The Financial Industry Regulatory Authority (FINRA), Wall Street's self-funded watchdog, in a February report faulted some firms for having shoddy security policies, including their responses after cyber attacks.
From InvestmentNews
Added on March 2015 in Form an RIA
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Summary: The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a letter to the agency.
From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: A lot of RIA firms have, in recent years, spent heavily on new technology to protect themselves against cyber attacks. But sometimes they use more money than sense, a panel of speakers at the Investment Adviser Association's compliance conference said.
From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: Despite FINRA backing off a bid to become the regulator for registered investment advisors, some still fear the authority's scrutiny if the Securities and Exchange Commission moves forward with third-party examinations.
From Financial Planning
Added on March 2015 in Form an RIA
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Summary: Just over a year ago, I got one of those voicemails that can make an advisor nervous. It was the SEC letting us know that we had three weeks to prepare for an audit.
