From WealthManagement.com
Added on January 2019 in Form an RIA
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Summary: Fines from the two of the country’s leading financial regulatory bodies are down big. FINRA sanctions dropped from $173.8 million last year to just $64.9 million in 2018, and there were fewer fines overall. This trend was also true of the Securities and Exchange Commission, suggesting that regulators are taking a newly relaxed approach to the rules. Look behind the numbers, however, and the reality is just the opposite.
From Financial Planning
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Summary: The SEC will highlight issues including cybersecurity and cryptocurrencies when it performs examinations of broker-dealers and financial advisors in 2019, according to the regulator's recent forecast.
From RIA Match
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Summary: We are a unique RIA platform and innovators in portfolio management We have offices in CA, FL & NYC and we work with advisors nationwide. We provide all operations, business development support, multiple custodians, and competitive fees/pay-out.
From Financial Planning
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Summary: Welcome back to the 104th episode of Financial Advisor Success Podcast. This week’s guest is Saundra Davis. Saundra is the founder of Sage Financial Solutions, which provides training and develops certification programs to teach people the skills of financial coaching.
From ThinkAdvisor
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Summary: The generational divide is as evident as the San Andreas fault when it comes to how financial advisors see technology altering their businesses. In a new survey of 375 wealth managers by iCapital Network, almost 77% of advisors under the age of 40 believe that technology will level the playing field in wealth management in the next five years vs. 27% for advisors over 40.
