Top 3 Main Challenges to Investors in Argentina
Recession, inflation and high risk: What’s not to like?
New Hire Roundup: Curian Capital Names Czaicki CIO
Also, the SEC brought in Stephanie Avakian as deputy director of enforcement.
Cybersecurity Crackdown: Where SEC, FINRA Will Strike
No matter the size of your firm, if your client data isn’t safe, you’re not safe from the SEC and FINRA.
Cybersecurity: What the Regulators May Do
Cybersecurity is going to be “a ‘hot’ regulatory issue for the foreseeable future,” according to the law firm Sutherland.
Thomas Giachetti, Stark & Stark’s Legal Celebrity: The 2014 IA 25 Profile
Tim Welsh of Nexus Strategy likes to call Giachetti the only “celebrity securities attorney,” but Giachetti says he “never wanted to be a lawyer.”
DOL Fiduciary Redraft Would Kill Many Small-Biz Retirement Plans: Survey
Thirty percent of small businesses say it's “at least somewhat likely” they will eliminate employee retirement plans under DOL's proposal, a Greenwald survey found.
Texting and Secure Portals: How Savvy Family Offices Talk to Clients
To efficiently and securely communicate with clients at all asset levels, especially during crises, take advantage of technology, like the best family offices do.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Fiduciary Debate Turns to Impact on Investors
The latest debate over whether the SEC and the Department of Labor should issue fiduciary rules this year recently turned to whether investors could be harmed by DOL's rulemaking, or harmed by the lack of such a rulemaking by the SEC.
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: Sutherland
An SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.