SEC to Conduct ‘IT-Related’ Exams of BDs, Advisors
Examiners will take a targeted look this year at “the quality of the technical infrastructure” of firms’ cybersecurity controls.
Client Prospecting in 2015: 4 Steps to Success
To take your prospecting to a deeper level, begin by categorizing and finish by blocking and tackling.
Best Finance Tweets of the Month: January 2015
From the Charlie Hebdo massacre to the Snowpocalypse that wasn't to the winter conference circuit.
Bad Guys ‘Winning’ in Cyberattacks
It’s inevitable that cyber breaches will happen, so prevention alone is not enough, FINRA and SIFMA say.
Cetera Rolls Out Marketing Platform, Leaves Schorsch Drama in Dust
CEO Larry Roth says the network of broker-dealers is focused on building advisor results.
SS&C Buys Advent Software for $2.7 Billion
Growth in the RIA space is a key motivator of the deal, says Advent CEO Pete Hess.
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA Reports
Both the SEC and FINRA will "likely bring enforcement actions if firms’ policies and procedures are found to be deficient,” warns Sutherland's Brian Rubin.
Industry, Media Fail to Promote Minority Advisors' Success, Ex-Advisor Charges
The profession hasn’t done a good enough job of profiling successful African-American advisors and showcasing their success, says former NFL player turned advisor Lee Jenkins.
Fidelity’s eMoney Deal Will Help It Compete With Robo-Advisors: Kitces
The personal financial management software could offer a "potential treasure trove" of insights to Fidelity, Michael Kitces says.
DIY Investing on a Growth Tear
Self-directed investment is growing much faster than the rest of the market, and online platforms' user bases are getting more diverse, a Scivantage study found.