From InvestmentNews
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Summary: The Securities and Exchange Commission exam arm announced Tuesday that deficiencies involving compliance procedures, regulatory filings, the custody rule, code of ethics, and books and records are the five that most often trip up registered investment advisers.
From Financial Advisor
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Summary: RIAs are missing out big time on a $5 trillion dollar market, according to Skip Schweiss, managing director of advisor advocacy for TD Ameritrade Institutional.
From OnWallStreet
Added on February 2017 in Form an RIA
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Summary: In what could amount to a break with former comments, Merrill Lynch could delay changes it pledged to make to comply with the fiduciary rule.
From Linkedin
Added on February 2017 in Form an RIA
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Summary: It might surprise you to hear that it is often the most productive and successful wirehouse advisors – usually those who service the highest net worth clients – who feel the most “stuck”. It is their belief that the wealthier and more discerning the client base, the more wed those clients are to the big name firms; that is, the wirehouses.
From InvestmentNews
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Summary: For financial advisers, developing a serious and specific business succession plan is not easy. But what's more difficult is the challenge clients face if their adviser doesn't have one.
