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Summary: Amid proliferating cyberthreats and rapidly evolving fintech, FINRA is reevaluating its approach to digital concerns and seeking additional guidance from federal lawmakers.
Added on October 2017 in M&A Issues
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Summary: As M&A deals for advisory firms continue to increase in volume and size, 2017 is shaping up to shatter previous records, according to Echelon Partner’s 3rd Quarter Deal Report.
Added on October 2017 in Form an RIA
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Summary: After numerous delays, updates and court decisions, the future of the Department of Labor’s Fiduciary Rule remains uncertain. While regulators still have not offered a clear picture of what to expect, advisory firms are using this time to examine their processes and payment structures to ensure they will be prepared to comply.
Added on October 2017 in M&A Issues
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Summary: Take a quick look at the financial headlines on any given day. It’s hard not to get the impression that large, multinational companies are the engines that makes the U.S. economy go. It’s easy to understand why. After all, the likes of Apple, Amazon and Microsoft generate billions in revenue and are common holdings for investors, so it’s only natural that the media would shower firms such as these with outsized attention.
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Summary:If you’re a registered investment advisor with a unique investment approach or a new twist on an old one, you’ve probably considered turning that idea into a mutual fund or an exchange traded fund. But a great investment idea by itself is no more sufficient for launching a fund than a great recipe is for opening a restaurant. No matter how strong your investment thesis, there’s a lot more that goes into starting a fund.
