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Summary: At BNY Mellon's Pershing Advisor Solutions Regional Symposium in New York City on Wednesday, Brian Hamburger, the founder, president and CEO of the regulatory compliance and consulting firm MarketCounsel, outlined three areas of top concern for RIAs right now: standing letters of authorization, the Department of Labor’s retirement-savings rule and, or course, cybersecurity.
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Summary: Q: All we keep hearing about at my firm is “cybersecurity.” I get what I’m supposed to do: Don’t click on strange links in e-mails. Watch out for phishing attempts. Verify distribution requests with my clients verbally. Beyond that, isn’t it the firm’s responsibility to make sure its systems are buttoned up?
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Summary: They all have wines but some are boutiques and have highly defined niches with limited production while others like Robert Mondavi specialize in the lower end wines for the masses. As a financial advisor you have to decide your focus and niche.
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Summary: When you hear the terms financial advisor, wealth manager, financial planner, financial consultant and broker do you assume they are synonymous? Do you expect them all to provide you with similar – and equally beneficial – services?
Added on July 2017 in M&A Issues
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Summary: Even the most logical, well-thought-out mergers and acquisitions between wealth management firms can fail. But companies can do a lot to make sure they identify a bad fit before it's too late.
