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Summary: I invite you to review your firm’s website through the eyes of that next client you would like to attract. Ask yourself, “Is the focus on us, or on the person with whom I want to engage?” Too often when I evaluate financial advisors’ websites, the story is all “About Us” right from the first word. You can forget about the S&P 500 charts, market summaries, calculators, and weather forecasts (really?!), too..
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Summary: There’s no way around it. Cybersecurity is a never-ending process for both financial institutions and individual consumers.
Added on August 2017 in Form an RIA
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Summary: On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) released their observations of cybersecurity preparedness from the examinations of 75 SEC registered firms, including registered investment advisors (“RIAs”).
Added on August 2017 in Form an RIA
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Summary: In addition to the many disclosures non-level-fee fiduciaries must make when they execute a best-interest contract with new or existing clients, advisors must also make disclosures about their website and make certain information available there.
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Summary: Certified financial planner professionals report very high satisfaction with their career choice and decision to obtain the CFP certification, according to a new survey by the Certified Financial Planner Board of Standards.
