Added on February 2018 in Form an RIA
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Summary:When SEC inspectors drop in on a firm this year, advisors serving retail clients had better be able to justify their fees, compensation and use of digital advice.
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Summary: When personal identity is enmeshed with business—as is often the case in family business—it makes it extremely challenging to see the exit ramp out of the leadership and know when to make the turn.
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Summary: Protecting against cyberattacks requires both high-tech and low-tech efforts by financial firms, according to presentations at the 2018 FINRA Cybersecurity conference in New York on Thursday.
Added on February 2018 in M&A Issues
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Summary: M&A activity within the wealth management industry remains strong, with more transactions of a larger size at the start of this year.
Added on February 2018 in Join an RIA
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Summary: When Morgan Stanley exited an industry agreement late last year that makes it easier for brokers and advisers to move to new firms, it upended 14 years of peace among the largest brokerages.
