Advisors ‘Lagging’ in Proper Insurance Against Cyberattacks
An FPA survey found that less than a third of advisors were fully prepared to manage the risks of a cyberattack.
DOL Files Official Delay of Fiduciary Rule
The delay should be approved by OMB in a week or two, lawyer Reish says. Barbara Roper doubts the complete rule will ever take effect.
Woodbury Adds $2B OSJ, RBC Picks Up $1B Teams: Recruiting Roundup
Plus, Raymond James, Baird, Kestra and other firms announce their latest hires.
Billion-Dollar RIAs Becoming ‘Formidable Competitors’ to BDs: Cerulli
"Some of the largest RIAs resemble small broker-dealers in size, service and brand awareness among advisors," Cerulli reports.
Bruckenstein, Welsh to Offer Top Tech Tips for Advisors
Nov. 2 webinar will highlight what IT insiders think about CRM, cybersecurity and other issues influencing financial advisors and their business-growth plans.
How to Think Outside the ‘Black Box’ on Succession Planning
To boost their practice valuations, advisors must focus on translating prospective improvements into reality, according to Truelytics’ Kevin Connor.
What Morgan Stanley’s Broker Protocol Exit Means for Advisors
Morgan Stanley says the accord has become unsustainable; a recruiter says the policy change could make it harder for advisors to leave.
SEC Provides Relief to Advisors, BDs From European MiFID II Rules
The action reduces “the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
How Advisors Really Use Morningstar Fund Ratings
A recent Wall Street Journal investigation found the ratings have a limited value, but most advisors already knew that.
Prepare Now for Business Recovery Events
Even if you don't live in hurricane country, it's smart business to be ready for work stoppages big and small.