From WealthManagement.com
Added on September 2016 in Form an RIA
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Summary: According to a recent survey conducted by WealthManagement.com and Advicent, half of advisors expect the ruling will force them to change their policies and procedures, complicate compliance and create more paperwork.
From Think Advisor
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Summary: Global analytics firm Cerulli Associates projects that the independent registered investment advisor (RIA) and hybrid RIA channels combined will increase their asset market share from 23% in 2015 to 28% in 2020 – likely outpacing wirehouses.
From InvestmentNews
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Summary: Last year, the North American Securities Administrators Association — the organization representing state securities regulators — adopted a model rule to require state-registered investment advisers to establish business continuity and succession plans in the event of a natural disaster, cyberattack or other business disruption such as the death of the owner of a sole proprietorship. State regulators are in the process of approving the model rule, which could take several years or longer to take effect across the country.
From Financial Advisor IQ
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Summary: Recruiting the ideal candidate to join a financial advice practice now requires serious investment to search for individuals with traits impossible to put on resumes, such as the ability to work on a team, one wealth management executive tells the Wall Street Journal.
From InvestmentNews
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Summary: The Securities and Exchange Commission is taking a closer look at advisers' use of social media by making their activity part of their annual disclosures to the agency.
