From InvestmentNews
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Summary: The Securities and Exchange Commission has created a cyber unit to target cyber-related misconduct, as well as a retail strategy task force aimed at helping and protecting individual investors.
From Financial Planning
Added on September 2017 in Join an RIA
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Summary: Recruiting momentum at independent firms such as Steward Partners as well as regional BDs and those that assist breakaways is outpacing the wirehouses.
From REALASSETS Advisor
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Summary: Though just 40 years old, Shirl Penney has already lived a life of extremes. Nothing is any more integral to his identity than having grown up in extreme poverty and rising above those early years of privation
From InvestmentNews
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Summary: More than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners in 37 jurisdictions uncovered 698 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA) said.
From ThinkAdvisor
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Summary: In my blog last week, I wrote about the bad karma created by “pre-screening clients,” because nobody likes to hear that they “aren’t good enough,” and consequently aren’t going to think — or speak — well of an advisor who sends that message.
