Added on August 2017 in Form an RIA
0 visitor like this article | Viewed 4355 times | 0 comment
Summary: New RIA registrations each year have more than doubled since the start of the millennium, according to an exclusive Financial Planning review of state notice filings. The same period has also seen explosive growth in RIAs’ state registrations, a sign that RIAs are expanding their national footprint.
0 visitor like this article | Viewed 3532 times | 0 comment
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..
0 visitor like this article | Viewed 4127 times | 0 comment
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
0 visitor like this article | Viewed 4402 times | 0 comment
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
0 visitor like this article | Viewed 4273 times | 0 comment
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.
