From Think Advisor
Added on August 2016 in Form an RIA
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Summary: The American Retirement Association announced Tuesday that it has picked fiduciary experts Don Trone, CEO of 3ethos, and Peter Swisher, senior vice president, National Sales at Pentegra Retirement Services to help develop ARA’s fiduciary education and best practices program for advisors.
From InvestmentNews
Added on August 2016 in M&A Issues
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Summary: Focus Financial Partners has the wind at its back in the merger and acquisition market as the aggregator of registered investment advisory firms reportedly prepares to go public.
From WealthManagement.com
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Summary: Sound too good to be true? Implementing a client relationship management tool (CRM) is not only a tool for acquiring and keeping clients, it is your best line of defense against the Department of Labor's new fiduciary rule. Documenting client interactions, discussions and investment recommendations is now an absolute necessity for superior client service and an regulatory defense.
From On Wall Street
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Summary: Should you hire an intern next summer? Yes, say planners who have done it, saying that it’s best if you have substantial work that an intern can do. But how do you know if your needs match what an intern has to offer?
From InvestmentNews
Added on August 2016 in Form an RIA
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Summary: Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.
