Added on October 2016 in Form an RIA
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Summary: There’s no time like the present to prepare for an approaching regulatory sea change—something advisors should keep in mind as they get ready for implementation of the DOL fiduciary rule.
Added on October 2016 in Form an RIA
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Summary: The Broker Disclosure Rule and DOL Fiduciary Rule – coming this November and next April respectively – are perceived by many as game changers in the financial advisory space. Much has been written about the specifics and impact of each, so I won’t repeat them here (see our prior blog posts: The New Golden Rule for Advisors on the Move and In the Eye of the DOL Storm).
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Summary: Financial advisers are increasingly comfortable tweeting and posting to Facebook and LinkedIn as securities regulators have made their expectations about social media more clear.
Added on October 2016 in Form an RIA
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Summary: The SEC brought a record number of enforcement actions over the past year, setting all-time highs for cases brought against investment advisers and investment companies, the agency announced this week.
Added on October 2016 in Form an RIA
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Summary: The biggest stumbling block for registered investment advisors when it comes to guarding against cybersecurity breaches is not technology-based, it’s a people problem. The right technology is critical, but RIA leaders face a bigger challenge in fostering a cybersecurity-sensitive culture in a way that resonates throughout all levels of their firms and is much more than a simple policy handout.
