0 visitor like this article | Viewed 3111 times | 0 comment
Summary: At BNY Mellon's Pershing Advisor Solutions Regional Symposium in New York City on Wednesday, Brian Hamburger, the founder, president and CEO of the regulatory compliance and consulting firm MarketCounsel, outlined three areas of top concern for RIAs right now: standing letters of authorization, the Department of Labor’s retirement-savings rule and, or course, cybersecurity.
0 visitor like this article | Viewed 4070 times | 0 comment
Summary: When you hear the terms financial advisor, wealth manager, financial planner, financial consultant and broker do you assume they are synonymous? Do you expect them all to provide you with similar – and equally beneficial – services?
0 visitor like this article | Viewed 3384 times | 0 comment
Summary: To say June 2017 was a busy time for the fiduciary standard would be an understatement. It was the busiest month I’ve seen on the financial advisor regulation front in many years.
0 visitor like this article | Viewed 3253 times | 0 comment
Summary: Independence has become as legitimate an option these days as being an employee, providing advisors with the freedom to ask themselves how they want to build their career. With an industry landscape that has expanded well beyond most expectations and wirehouse deals reduced significantly, there are many exciting options for entrepreneurial advisors looking to go out on their own.
0 visitor like this article | Viewed 3354 times | 0 comment
Summary: For newly created Registered Investment Advisor (RIA) firms, the first 90 days after launch can be both exhilarating and daunting in equal measure. On the one hand, firms get their first taste of independence as they begin to shape a new enterprise and new culture to match their vision. On the other hand, the first few months are pressure-packed with decisions they are now responsible to make as business owners regarding people and processes, client retention and everything from compliance to desktop technology.
