Added on September 2017 in Form an RIA
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Summary: SEATTLE — Deficiencies found by regulators during their examinations of state-registered RIAs jumped nearly 60% to 7,907 in the first half of the year, and agencies are signaling plans to make advisors accountable for shortcomings in cybersecurity, officials say.
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Summary: For people well-schooled in the relationship between supply and demand, here's one Fidelity Investments may not have seen coming: The demand for female financial advisers outstrips the supply.
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Summary: Countless firms—the vast majority, in fact—in the industry have not adopted basic fintech into their practices. It could be they are just unaware of the options before them, but considering the many trade publications, events and advertising opportunities highlighting fintech offerings, I would suggest the opposite is actually occurring: Advisors, wealth managers and other financial professionals are simply overwhelmed by their options and are defaulting to nothing.
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Summary: The Securities and Exchange Commission has created a cyber unit to target cyber-related misconduct, as well as a retail strategy task force aimed at helping and protecting individual investors.
Added on September 2017 in Join an RIA
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Summary: Recruiting momentum at independent firms such as Steward Partners as well as regional BDs and those that assist breakaways is outpacing the wirehouses.
