From Financial Planning
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Summary: During a Financial Planning webinar addressing audit readiness, Brian Hamburger, founder and president of MarketCounsel, a leading business and regulatory compliance firm, and Robert Molinari, vice president of compliance at Commonwealth Financial Network, laid out some best practices for preparing for regulatory audits
From InvestmentNews
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Summary: Let's face it: robo-adviser technology is here to stay. As full-service financial advisers, we will have to ramp up our communication strategies and combine them with first-class services and distinctive products to ensure that we will not only survive, but also thrive, as automated platforms amass a greater market share in the coming years. And in no uncertain terms, it means beating the robots at their own game.
From Think Advisor
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Summary: Registered investment advisors are increasingly implementing cybersecurity policies as the number of cyber breaches against their firms jumps, according to a just-released poll by the Investment Adviser Association and ACA Compliance Group.
From On Wall Street
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Summary:You've heard the warnings before: the advisor ranks are graying. Yet little progress has been made to mitigate a widely accepted problem that could snowball into a talent crisis. More than 70% of brokerage and RIA executives say there is a shortage of new advisors to replenish the ranks, according to a new survey by Fidelity.
From InvestmentNews
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Summary: Charles Schwab & Co. launched a second version of its automated investment service on Tuesday, this time a robo platform for advisers to implement within their own practices.
