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Summary: Just when advisors are absorbing the need to implement ERISA-level fiduciary standards for retirement accounts, there is another regulatory challenge coming down the pike.
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Summary: It’s easy to forget or delay something that doesn’t seem like a big deal at the time. You get busy with other more pressing daily activities like children’s sports, school work, etc...
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Summary: The Department of Labor’s fiduciary rule, released in April, highlights what our affluent research has been telling us for the past decade: The affluent want a professional to oversee the multi-dimensional aspects of their family’s financial affairs and have their best interests in mind.
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Summary: The SEC proposed a rule Tuesday that would require investment advisors to put in place business continuity and transition plans, detailing how they would "minimize material disruptions" to service in the event of natural disasters, cyber attacks, technology failures, the departure of key personnel or other events. Advisors could tailor their plans to fit their operations and risks specific to their particular business models.
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Summary: As anticipated, the Securities and Exchange Commission proposed a new rule Tuesday requiring registered investment advisors to adopt and implement written business continuity and succession plans.
