From InvestmentNews
Added on December 2017 in Form an RIA
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Summary: New York State's top financial watchdog proposed regulations that would require sellers of life insurance and annuities to act in the best interest of clients, raising standards even as the U.S. government delays its fiduciary rule.
From ThinkAdvisor
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Summary: Many financial advisory firms are seeing more automation in their middle- and back-office operations, according to industry experts.
From Financial Planning
Added on December 2017 in M&A Issues
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Summary: Financial advisors’ value will grow in 2018, on the strength of new technology tools, M&A deals and a sense of relief around the fiduciary rule.
From InvestmentNews
Added on December 2017 in Form an RIA
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Summary: Three new officials — one at the Labor Department and two at the Securities and Exchange Commission — will help the agencies advance their work on investment advice standards.
From ThinkAdvisor
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Summary: No doubt within the first ten minutes of becoming a financial advisor, you received a list of taboos: those things you are never allowed to do because they are either ethically or legally forbidden. At the top of that list: using client testimonials.
