From Think Advisor
1 visitor like this article | Viewed 3613 times | 0 comment
Summary: While compliance officers are more confident in their firms’ use of new communications channels for business, including social media, they’re concerned about the retention and production of text messages, with most firms that allow their employees to conduct business via texts stating they have "minimal to no" confidence in their ability to produce such messages during a regulatory exam, according to a survey released Friday by Smarsh.
From IRIS
1 visitor like this article | Viewed 3587 times | 0 comment
Summary: We work with partners from formation to succession. We provide a “how-to” guide to get the most out of their specific partnership, so they can have a thriving business and a great relationship. We take business partners through a process; generally this involves assessing where they are, conducting facilitated meetings, and capturing what they have agreed to.
From Think Advisor
1 visitor like this article | Viewed 4676 times | 0 comment
Summary: Rep. French Hill, R-Ark., a member of the House Financial Services Committee, said Thursday that he plans “to explore” introducing a bill that would give the Financial Industry Regulatory Authority the authority to examine investment advisors
From InvestmentNews
0 visitor like this article | Viewed 4187 times | 0 comment
Summary: Two separate surveys, one by Smarsh Inc., a compliance company, and another by Cogent Reports' Advisor Media Consumption, which collects data on financial advisers, both found that advisers are breaking down the barriers and using social media for their businesses.
From Wall Street Journal
1 visitor like this article | Viewed 4802 times | 0 comment
Summary: When financial advisers start their careers, they typically discover challenges they hadn’t expected. Many don’t make it through those harrowing first years. Here, some advisers who still are in their early years of practice share some of the surprises they have encountered, mistakes they have made and the lessons learned.
