0 visitor like this article | Viewed 4265 times | 0 comment
Summary: Countless firms—the vast majority, in fact—in the industry have not adopted basic fintech into their practices. It could be they are just unaware of the options before them, but considering the many trade publications, events and advertising opportunities highlighting fintech offerings, I would suggest the opposite is actually occurring: Advisors, wealth managers and other financial professionals are simply overwhelmed by their options and are defaulting to nothing.
0 visitor like this article | Viewed 3958 times | 0 comment
Summary: The Securities and Exchange Commission has created a cyber unit to target cyber-related misconduct, as well as a retail strategy task force aimed at helping and protecting individual investors.
Added on September 2017 in Join an RIA
0 visitor like this article | Viewed 4876 times | 0 comment
Summary: Recruiting momentum at independent firms such as Steward Partners as well as regional BDs and those that assist breakaways is outpacing the wirehouses.
0 visitor like this article | Viewed 3921 times | 0 comment
Summary: Though just 40 years old, Shirl Penney has already lived a life of extremes. Nothing is any more integral to his identity than having grown up in extreme poverty and rising above those early years of privation
0 visitor like this article | Viewed 4466 times | 0 comment
Summary: More than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners in 37 jurisdictions uncovered 698 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA) said.
