From Barron's Advisor Center
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Summary The SEC is keeping an eagle eye on RIAs who overcharge their clients or incorrectly bill them.
From ThinkAdvisor
Added on April 2018 in Form an RIA
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Summary: SIFMA has released its Data Aggregation Principles to protect member firms and their customers against potential security breaches and misuse of personal financial data by third-party aggregators.
From InvestmentNews
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Summary: Look around that desk of yours for a moment. Think about your personal relationships, your work, your family and even your own daily habits. Technology plays a role in every aspect of your life, sometimes without your even knowing it. We're in the midst of a paradigm shift — one that admittedly has made me think as much about the human condition as the technology changing it.
From OnWallStreet
Added on April 2018 in Form an RIA
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Summary: The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors, according to a notice from the commission.
From RIA Match
Added on April 2018 in M&A Issues
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Summary: Join us for a webinar on April 19, 2018 at 1:00 PM EDT.
