One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However, securities regulators, rightly or wrongly, are likely to bring registered investment advisors under the same compliance umbrella as registered representatives. Maybe not right away, as the watchdogs have easier pickings with 'unregistered RIAs,' a.k.a. hedge funds, but it's only a matter of time before they get around to the registered crowd.
ThinkAdvisor and the College for Financial Planning have partnered to bring you a series of helpful educational tools that you can use to take your career to the next level.
ThinkAdvisor's TechCenter is an educational resource designed to give you a competitive edge by keeping you abreast of new tech innovations and need-to-know information that can be applied to your business.
Millennials are the future of your practice; both as clients and employees. Understand how they think to capture them as clients, attract them as employees...
Hundreds of plan advisors are successfully gaining the attention of CFOs and securing appointments. Learn how with this short video.
Discover how charitable donations of complex assets such as real estate or privately held stock can help them give more to charity, save cash and...
Jun 20, 2017
Join this complimentary webcast to discover how the top three SMA Mangers of the Year beat their peers by consistently delivering alpha.
May 24, 2017
Join this complimentary webcast to listen in on a roundtable discussion on the current state of the industry, as well as receive tips and strategies...
May 11, 2017
Mega trends continue to impact the wealth management industry. Trends such as new digital competition, increasing compliance standards, fee pressures, and an aging advisor population....