From Financial Planning
Added on October 2016 in Form an RIA
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Summary: The SEC brought a record number of enforcement actions over the past year, setting all-time highs for cases brought against investment advisers and investment companies, the agency announced this week.
From fi360
Added on October 2016 in Form an RIA
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Summary: The biggest stumbling block for registered investment advisors when it comes to guarding against cybersecurity breaches is not technology-based, it’s a people problem. The right technology is critical, but RIA leaders face a bigger challenge in fostering a cybersecurity-sensitive culture in a way that resonates throughout all levels of their firms and is much more than a simple policy handout.
From WealthManagement.com
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Summary: Have you ever had a moment at the end of a long day where you thought, "Wow, I got a lot done today?" Most of us have. It’s a good feeling. Maybe you wouldn’t call it “perfect,” but it represents an ideal 24 hour cycle of your most important actions.
From Advisor Perpectives
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Summary: Building a reliable network of centers of influence (COIs) is one of the surest ways to engage with new prospects and grow your practice. Here’s a step-by-stop process to expand your list of COIs – including some who you probably didn’t think were potential referral sources.
From InvestmentNews
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Summary: The experience that financial advice clients expect today has evolved, and firms that don't have speedy service are going to get rolled over, said Alex Murguia, managing principal of McLean Asset Management in McLean, Va. He is also a board member of inStream Solutions, a financial planning system. What's even more surprising is the role Mr. Murguia sees technology playing for future advisers — and it has nothing to do with robo-advice.
