Scared Straight: Simple Cybersecurity Measures to Protect Your Firm
Appropriate security processes at the enterprise level are not as ubiquitous as one might think. Here’s why that’s a problem.
6 Areas of Regulatory Focus From a Former FINRA Exec
What do “Birdman” and broker-dealers have in common?
Hearsay Updates Social Media Apps for Mobile Phones
Meanwhile, Socialware introduces a brand protection tool for financial companies.
Wealth Managers Must Be High-Tech and High-Touch
Many robo-advisors are aimed at younger, mass affluent investors. But boomers and high-net-worth clients like tech tools, too.
United Capital’s Duran: Wealth Management Is Dead. Long Live Life Management!
Wall Street is out of step with the public in promising to make people rich—when their real goal is to have rich lives.
Wall Street’s 15 Biggest Spenders on Lobbying in Washington
Wall Street banks, financial services firms and trade associations spent $1.4 billion in the 2013-2014 election cycle, according to Americans for Financial Reform.
Schwab’s Advisor Robo-Platform Offers 200 ETFs, 28 Asset Classes
Schwab Institutional Intelligent Portfolios requires 4% cash holdings in portfolios; mimics retail robo offering in minimums, auto tax-loss harvesting levels.
Top Portfolio Products: Global X Adds Two Dividend ETFs
New York Life announced a fixed deferred annuity, while New York Life Retirement Plan Services added an enhancement to its mobile app.
New Internet Domain Extensions Meant to Help Charities Succeed
Two new Internet domain extensions—.ngo and .ong—are available to approved independent, nonpolitical charities.
Fiduciary Standard Should Be Based on How Brokerage Industry Works
A reader says all fees, transaction costs and loads should be transparent and "comparison-shopped for by a broker 'advising' any client." Therein lies the rub.