Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 2750 times | 0 comment
Summary: Having helped many RIAs with marketing, I find that the firms that are most successful in their efforts are those that have established a message, plan, and resources before they begin.
Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 2630 times | 0 comment
Summary: Broker/dealers and their reps doing business in New Jersey should be required to operate under a higher standard that currently applies to investment advisors, according to a new proposed rule released yesterday by the state's Bureau of Securities. The rule would require all financial advisors registered in the state to act as fiduciaries, making New Jersey one of the first states to propose a uniform fiduciary standard for all financial services professionals.
Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 2814 times | 0 comment
Summary:Every year at this time, registered investment advisers are — or should be — thinking about some of the annual regulatory compliance requirements imposed by the Securities and Exchange Commission.
Added on August 2018 in Form an RIA
0 visitor like this article | Viewed 2822 times | 0 comment
Summary: Amid all the excitement about the potential uses of artificial intelligence in financial advice, there is still a lot of uncertainty about how this new technology will fit into the existing regulatory framework governing financial services firms.
