Added on August 2014 in Form an RIA
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Summary: Brokerage firms may be monitoring their brokers' investment accounts for signs that a broker is about to jump ship. Firms have long monitored brokers' personal trading accounts for signs of suspicious trading activity. But certain behaviors — such as large withdrawals, moving assets into the accounts owned by family members or suddenly liquidating shares in proprietary products — may also suggest that a broker is planning to switch to another firm.
Added on August 2014 in Form an RIA
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Summary: The process of going independent can be more time consuming than moving to another wirehouse, due to additional due diligence and logistical execution. So, it is important to make the journey to independence simpler, more turnkey and less threatening.
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Summary: Headhunters and industry specialists say fewer advisers move on holiday weekends now, in part because a 2004 protocol prevents firms from seeking temporary restraining orders, and also because brokers and firms don't want to interrupt clients while they are enjoying those long breaks..
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Summary: With the outlook for passage of a uniform fiduciary duty now bleak, it's astonishing to think the prospects for strengthening investment-advice rules to better protect investors looked so bright four years ago.
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Summary: RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey. The number of RIA firms employing six or more employees focused on compliance jumped from 16 percent to 18 percent over the past year, according to the 2014 Investment Management Compliance Testing Survey.
