From InvestmentNews
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Summary: New cybersecurity rules for some financial services providers are set to take effect March 1 for firms doing business in New York, and the new requirements may be showing up around the nation before too long.
From IRIS
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Summary: Just because your title, CCO, contains the word "Officer" doesn't mean you are a corporate officer and required by law to be indemnified by your employer.
From InvestmentNews
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Summary: Consolidation in the registered investment adviser space has become fast and furious, with no slowdown in sight, according to the latest research from Echelon Partners.
From WealthManagement.com
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Summary: Most advisors have heard the same marketing mantras: Look for opportunities to talk about business, deliver that value proposition that positions you as the most interesting person in the room, ask for the order, always ask for referrals, don’t mix business with pleasure, and the list goes on.
From WealthManagement.com
Added on January 2017 in M&A Issues
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Summary: Sanctuary Wealth Services, in a column by its founder and CEO, Jeff Spears, announced it’s in the process of closing shop after nearly eight years of consulting and providing platform services to “breakaway brokers.”
