Advisors Take Note: Compliance Officers Are Watching
Yet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.
Donors Not Looking to Advisors for Philanthropy Help
High-net-worth private foundation donors don’t necessarily think of their financial advisor as a philanthropic source, reports Foundation Source.
AR Capital to Stop New Issues, Cetera Suspends Related Product Sales
Atmosphere at Schorsch-founded entities continues to deteriorate days after regulators announced a fraud investigation of RCS Capital.
Wisdom Tree, AlphaClone and SPARX Group Add Foreign-Focused ETFs
Do you know the difference between a global ETF and an international ETF? Hint: One includes U.S. assets.
10 Ways RIAs Can Recruit and Retain Top Talent
The consequences for a firm that fails to nurture its human capital can include heavy employee turnover and a slide into irrelevance, aRIA warns.
Slim Chance to Stop DOL Fiduciary Rule, but Brokers Must Keep Fighting: Rep. Mulvaney
Mulvaney told Commonwealth reps to tell senators that “we will no longer be able to serve middle-class people who need us the most.”
9 Negative Phrases to Avoid With Clients (and What to Say Instead)
Check yourself before you wreck yourself. Always, always practice what you're going to say before calling a new prospect.
FINRA Enforcement: 3 Firms Fined for Failures in Research Disclosure
In one instance, a member of the firm’s sales force was provided the entire draft of a research report prior to publication.
Future Looks Bright to RIAs: Schwab Survey
Nearly half of advisors expect at least 10% growth in 2016, Schwab's annual advisor outlook survey found.
Cybersecurity: A Checklist for Advisors
Financial advisors know all too well that they need to protect their business from cyberattacks, but the problem may be bigger than many imagine.