From IRIS
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Summary: There’s no way around it. Cybersecurity is a never-ending process for both financial institutions and individual consumers.
From IRIS
Added on August 2017 in Form an RIA
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Summary: On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released their observations of cybersecurity preparedness from the examinations of 75 SEC registered firms, including registered investment advisors (“RIAs”).
From ThinkAdvisor
Added on August 2017 in Form an RIA
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Summary: In addition to the many disclosures non-level-fee fiduciaries must make when they execute a best-interest contract with new or existing clients, advisors must also make disclosures about their website and make certain information available there.
From ThinkAdvisor
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Summary: Certified financial planner professionals report very high satisfaction with their career choice and decision to obtain the CFP certification, according to a new survey by the Certified Financial Planner Board of Standards.
From ThinkAdvisor
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Summary: If you own an investment advisory business, growth is a good problem to have. It can become such a big problem, however, that you may consider hiring another you — another financial advisor to help serve your existing clients and prospect for new ones. There are many legal and compliance considerations to keep in mind when doing so, the most salient of which are described below.
