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Summary: For many financial advisors, a 168 hour-week doesn’t feel long enough to prospect for new clients, keep existing customers happy, take care of administrative duties and keep up with the latest industry developments. Thankfully, technology tools can help.
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Summary: Disclosing conflicts of interest has long been a cornerstone of compliance and regulation, but what happens when it still fails to offer meaningful protection for investors?
Added on December 2017 in Form an RIA
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Summary: Adviser awareness about cybersecurity has increased substantially over the past two years, and most firms have either established or are in the process of establishing written policies and procedures for protecting investor information, the Financial Industry Regulatory Authority noted Wednesday in a report detailing findings from a recent self-examination.
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Summary: It’s simply the idea that before you can do anything amazing, you need to first clear space at the workbench. Solve your biggest constraint. Untie the shackles before you can run a mile.
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Summary: As the Labor Department and the Securities and Exchange Commission coordinate regarding a uniform fiduciary standard, industry officials are weighing in on the likely outcome of an SEC rule, but don’t see movement on such a rulemaking until the agency has a full commission.
