Where the Real Cybersecurity Risk Comes From
One of your vendors discloses they’ve suffered a data breach, potentially exposing your clients to losses. How do you respond?
5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
12 Best & Worst Broker-Dealers: Q2 Earnings, 2015
The financial sector boosted income 7% on average in the latest period as sales jumped 19% from a year ago.
Recruiting Roundup: Morgan Stanley Grabs $1B Pair From Citi
The team comes on board in New York, while a Barclays rep joins the wirehouse in Boca Raton.
Roth Quits RCS Capital Board
The resignation is not a result of any disagreement with RCS Capital or the board, the company says.
Which Wirehouse Tops LPL’s List of Recruited Reps?
The independent broker-dealer is adding a sizable number of teams and advisors from one firm in particular.
How Much Do Robos Really Matter?
You’re considering adding a robo-advisor platform to help your reps expand efficient service to smaller client; how do you manage client and rep expectations about the new service?
The Insights of In-Person Talks
‘I am the wisest man alive, for I know one thing, and that is that I know nothing.”—Socrates
The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
Recruiting Roundup: UBS Nabs 4 Ex-Merrill Reps in Florida
Meanwhile, Raymond James adds a husband-and-wife team in Dallas to its employee channel.