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Summary: The U.S. Securities and Exchange Commission said Monday that the hackers who broke into its corporate filing system last year accessed two people's personal information, a change from the agency's previous assessment that it didn't believe such data had been compromised.
Added on October 2017 in Join an RIA
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Summary: It’s commonly believed that getting a degree from the right institution may help you get a leg up after graduation.
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Summary: Walk around any generic wealth management conference and it shouldn’t take you long to notice that the industry has a diversity problem. The advisor population is overwhelmingly white, older and male.
Added on October 2017 in M&A Issues
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Summary: A rising number of Registered Investment Advisor (RIA) firms are turning to mergers and acquisitions (M&A) as a way to sustain their business momentum in a period of slowing growth and rapid consolidation. Such deals are not small, either. Case in point: advisors anticipate that M&A deals they plan to strike in the next five years will increase the size of their firms by 37%, according to a recent InvestmentNews study.
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Summary: In recent years, more retail investors have started to make the distinction between a fiduciary duty and a suitability standard. This, of course, is due to the Department of Labor’s years-long effort to rewrite the rules for retirement accounts, which has gained attention from segments of the mainstream media that don’t typically cover our industry.
