Crunch Time: New Standards Will Define the Future of CFPs
I’m beginning to hear rumors that the CFP Board Commission on Standards may soon release its recommendations and open them up for public comment.
Financial Services Is Industry Most at Risk for a Mega-Cyberattack: AIG Survey
The survey of cybersecurity experts found that an attack on 5-10 companies simultaneously is highly likely this year, and much broader attacks are possible.
SEC’s Piwowar Warns About ‘SAFE’ Crowdfunding Instrument
"Despite its name, a so-called SAFE is neither ‘simple’ nor ‘safe,’” SEC Commissioner Michael Piwowar says of simple agreements for future equity.
SEC Fines Former Staffer for Ethics Violations
David R. Humphrey concealed personal trading from SEC’s ethics office and misrepresented his trading activities, the agency says.
Advisors, ThinkAdvisor Wants You to Share Your Military Stories
Please tell us about your military service in a short survey so we can share your stories Memorial Day weekend in our Advisors Who Serve(d) slideshows.
Dynasty Rolls Out New Funding Plan for RIAs
Called revenue participation notes, the liquidity options lets advisors raise funds without selling their practices.
Ron Carson — The Advisor’s Advisor: The 2017 IA 25
He argues today's reps must prove their worth and adjust to change; "you either evolve quickly or become irrelevant."
David Gergen Handicaps the Republican Agenda
The former presidential advisor says passage of a health care bill will clear the way for smaller than expected tax cuts and deregulation.
TD Bank Names New Sales Chief for Wealth Group
Jim Nesci joins the the firm from Provident Bank; he has more than 25 years in the industry.
Envestnet Announces Its First Essential Advisor Awards
The awards coincide with the launch of its Essential Advisor Certification program.