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Summary: While the reaction to the CFP Board's new proposed standards of conduct has been mostly positive, many commenters have expressed serious misgivings about the practical impact of the changes.
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Summary: Securities rules require robo-advisers to act as fiduciaries in providing investment advice to clients, but a new research paper calls into question whether regulators have the necessary tools to monitor these platforms to see if they really are providing advice in clients' best interests.
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Summary: Wes Stillman is the chief executive officer of RightSize Solutions, a provider of cybersecurity and technology management services for wealth management firms. We have asked Wes to share a few tips on cybersecurity for RIAs:
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Summary: As discussed in our previous posts (See Part 1 and Part 2), many wirehouse advisors have concluded that while their current employment situation clearly has its faults, for the most part, they have found a way to make it work. Many advisors decide that for the amount of money they earn, they can live with the inherent headaches associated with their current employer.
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Summary: Day in and day out, I talk to advisors about making the move to the independent registered investment advisor (“RIA”) channel. I’ve seen advisors from all different backgrounds and business models make the transition to the independent RIA model and never look back.
