From IRIS
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From CNBC
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Summary: The Securities and Exchange Commission, as well as state securities regulators, want to know about your firm’s cybersecurity practices. Not only are you responsible for safeguarding your firm’s networks and devices, but you must perform due diligence on your vendors and establish policies for employees.
From InvestmentNews
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Summary: For Joe Reeves and Ron Butt, co-founders of Louisville, Kent.-based ARGI, the pursuit of a viable succession plan for their $2.6 billion financial planning firm was the original objective, but the ESOP provided the added bonus of giving all employees a potential stake in the RIA's ongoing success.
From Financial Planning
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Summary: In my conversations with advisors and firm owners over the past year, I’ve heard a repeated lament: There is too much competition for top talent. Rivals are snapping up the strongest candidates, offering more money or more flexibility. Sometimes firms lose out because they are too slow to make an offer.
From Financial Planning
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Summary: When I changed careers from medicine to financial planning in 2004, my big idea was to take care of my closest 20 physician friends — and not work too hard doing it.
