From InvestmentNews
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Summary: Strong growth in the number of registered investment advisory firms brings with it the greater likelihood that they'll be enforcement targets, recent state statistics show.
From ThinkAdvisor
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Summary: Email spam may be looked at as the poor cousin to bigger hacking episodes, but in a new study by the Securities and Exchange Commission, “spoofed or manipulated electronic communications are an increasingly familiar and pervasive problem,” the report stated. In fact, the FBI 2017 Internet Crime Report stated that “business email compromises” caused more than $5 billion in losses since 2013, with an additional $675 million in adjusted losses in 2017, “the highest estimated out-of-pocket losses from any class of cyber-facilitated crime during this period,” the SEC report stated.
From ThinkAdvisor
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Summary: A year after it acquired Mast Mobile, Hearsay Systems is introducing technology that gives financial advisors access to much more information on their mobile phones and the ability to turn that data into client calls, text messages and more.
From Financial Planning
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Summary: Here’s an inside look at four RIAs who have built up expertise in areas as diverse as professional baseball, Microsoft deferred compensation plans, the oil and gas industry and transitioning to a new stage of life.
From Advisor Perspectives
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Summary: They get a bad rap, but compliance officers don’t deserve all the blame. Are you provoking them? If you’re doing these things, you are creating your own compliance nightmare.
