From InvestmentNews
Added on October 2017 in Form an RIA
0 visitor like this article | Viewed 4363 times | 0 comment
Summary: The new Securities and Exchange Commission chairman, Jay Clayton, recently testified before Congress that the agency will increase its examinations of investment advisers by 20% in the current fiscal year, and nudge those numbers up a further 5% in fiscal 2018.
From Financial Planning
0 visitor like this article | Viewed 4175 times | 0 comment
Summary: Everyone knows that social-media and digital tools can play a key role in marketing for advisors, but how else can advisors leverage technology?
From Financial Planning
0 visitor like this article | Viewed 3533 times | 0 comment
Summary: When financial planners meet at industry conferences, they need a quick shorthand way to gauge how relevant a conversation with this interesting stranger would be. So the first question I hear them ask is ... What’s your AUM?
From Financial Planning
Added on October 2017 in Form an RIA
0 visitor like this article | Viewed 4680 times | 0 comment
Summary: On Oct. 1 the SEC stopped accepting any amendments in most instances until firms complete the much more onerous job of filling out its new Form ADV, which includes up to hundreds of new disclosures depending on the size of the firm, says GJ King, president of compliance and software consulting firm RIA in a Box.
From WealthManagement.com
Added on October 2017 in Form an RIA
0 visitor like this article | Viewed 4264 times | 0 comment
Summary: When President Trump was elected, some broker/dealers and advisors thought it would usher in an era favorable to financial services, with a pullback in regulatory reach and a return to a “friendlier” legal environment for small businesses.
