From Financial Planning
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Summary: Disclosing conflicts of interest has long been a cornerstone of compliance and regulation, but what happens when it still fails to offer meaningful protection for investors?
From InvestmentNews
Added on December 2017 in Form an RIA
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Summary: Adviser awareness about cybersecurity has increased substantially over the past two years, and most firms have either established or are in the process of establishing written policies and procedures for protecting investor information, the Financial Industry Regulatory Authority noted Wednesday in a report detailing findings from a recent self-examination.
From IRIS
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Summary: It’s simply the idea that before you can do anything amazing, you need to first clear space at the workbench. Solve your biggest constraint. Untie the shackles before you can run a mile.
From ThinkAdvisor
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Summary: As the Labor Department and the Securities and Exchange Commission coordinate regarding a uniform fiduciary standard, industry officials are weighing in on the likely outcome of an SEC rule, but don’t see movement on such a rulemaking until the agency has a full commission.
From IRIS
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Summary: This summer, the team at ffVC hosted our Insight Forum: Spotlight on Cybersecurity, a panel event gathering top cyber experts for a wide-ranging discussion on the current and future states of cybersecurity. Topics ranged from how organizations and consumers can mitigate vulnerability to the future of attacks related to IoT devices, blockchain and cryptocurrency, autonomous vehicles, and more.
