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Summary: State and federal examiners increasingly expect advisors to have a business continuity and succession plan in place, even if they aren't bound by a specific rule mandating a formal policy.
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Summary: The Securities and Exchange Commission’s Division of Investment Management has released cybersecurity guidance to help advisors and funds address their cyber risks.
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Summary: Finra chairman and chief executive Richard Ketchum told lawmakers on Friday that its controversial massive data-collection program is on hold while the regulator studies whether it would make brokerage information vulnerable to hackers. The CEO, however, did not suggest the proposal is dead.
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Summary: Some 58 percent of Americans believe their financial-planning efforts need improvement, but 34 percent of us have done nothing to plan for our financial futures, according to a newly released study by Northwestern Mutual.
Added on April 2015 in M&A Issues
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Summary: As the leading independent lender to financial advisors, we have seen our fair share of deals. Some go right—and others go very, very wrong. From surprise last-minute changes to bumps within the seller transition, there really is no guarantee when it comes to selling or buying a book of business.
