Added on April 2015 in Form an RIA
1 visitor like this article | Viewed 4079 times | 0 comment
Summary: The SEC has elevated Office of Compliance Inspections and Examinations Deputy Director Marc Wyatt to to acting director of the unit, which is responsible for examining financial advisors.
Added on April 2015 in Form an RIA
1 visitor like this article | Viewed 3916 times | 0 comment
Summary: The Securities and Exchange Commission should develop a database that compiles information about securities law violations and is easy to use for investors, especially the elderly, an advisory group said Thursday.
Added on March 2015 in Form an RIA
1 visitor like this article | Viewed 4037 times | 0 comment
Summary: Like long-term care insurance and straight-through processing capabilities, people too often don’t realize the need for strict cybersecurity measures until they’re personally affected. Sure, lip service is routinely paid, but it too often takes a catastrophic situation to get someone’s attention.
Added on March 2015 in Form an RIA
2 visitors like this article | Viewed 3816 times | 0 comment
Summary: Andrew McFadden started Panoramic Financial Advice out of his Fresno, Calif. home and cut costs to the bone -- except where only retail would do -- and isn't afraid to send micro-accounts to a competitor
Added on March 2015 in Form an RIA
1 visitor like this article | Viewed 4276 times | 0 comment
Summary: The issue of advisors’ fiduciary duty is top-of-mind these days, following announcements by both the Department of Labor and the Securities and Exchange Commission that they plan to move forward with rulemaking efforts requiring advisors to act in the best interests of their clients.
