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.
From Financial Advisor IQ
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Summary: Advice practices were hit with a double whammy of rising overhead and slowing asset growth in 2015, and those who let operating costs run away from them may face more of the same this year, according to a new study released by TD Ameritrade Institutional.
From Barron's
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Summary: With an increasing number of the best independent advisory practices growing into full-blown firms, Barron’s asked some key executives to put this moment in time in perspective. Here are their comments:
