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Summary: Small and medium-size RIAs may have to start formulating succession plans to be in regulatory compliance. If state financial regulators have their way, firms under their purview — essentially RIAs with less than $100 million under management — will have to show they’ve made arrangements to ensure that clients and their assets are safe if a lone practitioner gets seriously ill, has an accident or dies, writes Financial Planning.
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Summary: Advisory firms around the country are looking to hire young professionals like her to help them take on some of the increased tasks of the modern advisory practice, stay current in technology and trends, and attract younger clients. In addition, many advisers who hope to eventually step away from the business without abandoning clients are looking for successors.
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Summary: Finding the right firm to acquire is hard enough, but attracting top talent is becoming increasingly problematic for growth-minded registered investment advisors.
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Summary: Wednesday, BMO Capital Markets is holding its tenth annual Equity Through Education trading day, where a single day of profits from institutional equity trades will fund mentoring and scholarship programs for young women and students alike through the Jackie Robinson Foundation, KIPP and the Financial Women's Association. It's a day that reminds us that, with a little effort, we can have a big impact.
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Summary: Small and midsize RIAs could soon face new requirements to have a succession plan in place for their firms, and state securities regulators are asking for input from practitioners as they wrap up the rulemaking process
