Added on March 2016 in Form an RIA
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Summary: The rule, which could have sweeping and unprecedented impacts on the advisory industry, would require planners who advise on retirement assets to place their clients' financial interests before their own.
Added on March 2016 in M&A Issues
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Summary: Registered investment advisory firms represented 40 percent of the buyers in the 84 M&A deals tracked by Schwab Advisor Services in 2015. That’s up significantly from 2012, when RIAs made up less than 25 percent of buyers, and down slightly from 41 percent in 2014.
Added on March 2016 in Form an RIA
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Summary: Securities and Exchange Commission Chairwoman Mary Jo White told lawmakers Tuesday that if the agency proposes a rule to raise retail investment advice standards, it may not mesh perfectly with a separate Labor Department rule that will soon be finalized.
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Summary: Your company culture grows stronger when you maximize the marketing power of its most valuable resource.Your employees could be your clearest competitive advantage if they become the kind of brand evangelist like the one I met last week on a Lyft ride.
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Summary: The Securities and Exchange Commission delivering on a uniform fiduciary rule for brokers and advisors is likely an “unattainable” goal, as the two divisions charged with writing the rule have “different interests” regarding the rule’s outcome and the agency’s commissioners disagree on whether such a rule is necessary, Bob Plaze, a former SEC executive, said Thursday.
