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.
Combined fee-based and commission-based businesses are on the rise. See how this adaptable model offers flexibility, while helping you maximize opportunities with access to a...
In this presentation, CEO of Cambridge Eric Schwartz shares with you details on solving the challenges facing independent advisors, including business continuity and succession planning.
New investor attitudes toward risk call for a new approach by advisers. Download this whitepaper to discover financial options you might have ignored in the...
Jun 30, 2015
Join ThinkAdvisor & Well Fargo in this webcast to learn a dynamic four criteria approach and how to gain portfolio flexibility.
Jun 09, 2015
Join ThinkAdvisor for this live, interactive webcast and hear from the winners of the 2015 SMA Mangers of the Year on impact investing strategies and...
May 14, 2015
Join leading advisors from Laserfiche to learn how to harness ECM power and efficiency to your firm.