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Summary: At the 2018 MarketCounsel Summit I was asked for the most important "breakthrough" moments for our firm. As we reach the end of the year, I believe we should reflect on the most important developments in the wealth management industry as a whole, and where we're headed in the months to come.
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Summary: The SEC will highlight issues including cybersecurity and cryptocurrencies when it performs examinations of broker-dealers and financial advisors in 2019, according to the regulator's recent forecast.
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Summary: The generational divide is as evident as the San Andreas fault when it comes to how financial advisors see technology altering their businesses. In a new survey of 375 wealth managers by iCapital Network, almost 77% of advisors under the age of 40 believe that technology will level the playing field in wealth management in the next five years vs. 27% for advisors over 40.
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Summary: The Securities and Exchange Commission announced the 2019 examination priorities for compliance examinations and inspections late Thursday. Next year, according to the SEC’s Office of Compliance Inspections and Examinations, emphasis will be put on digital assets, cybersecurity and investor issues like fees, expenses and conflicts of interest.
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Summary: Folio Financial says it has rolled out a new robo-advisor platform for both financial professionals and investors that includes tools for goals-based financial planning and specialized portfolio building.
