4 SEC Hot Buttons Advisors Should Address Immediately
By Thomas D. GiachettiThe agency is in a prickly mood, and may compel advisors to reimburse clients if certain disclosures aren't met.
September 22, 2021
Client Demand for Sustainable Investing GrowsDespite client interest, only 34% of RIAs surveyed had implemented sustainable investing strategies for their clients., SEI found.
September 21, 2021
How Proprietary Advisory Platforms Conflict With Fiduciary StandardsTo keep assets flowing to their best profit centers, some BDs are keeping their advisors in the dark on better offerings.
September 20, 2021
Kitces' XY Planning Urges SEC to Block Brokers From Offering Financial PlansSuch services are beyond the scope of "solely incidental" advice, says XYPN, which also wants the SEC to tighten rules around advisor titles.
September 16, 2021
Fidelity Pushed for Bitcoin ETF Approval in Private SEC MeetingExecutives including Tom Jessop, president of Fidelity Digital Assets, met with SEC officials in a Sept. 8 video call, filings show.
September 16, 2021
RIA in a Box Launches Virtual Desktop, Compliance Dashboard for RIAs: Tech RoundupAlso, Wells Fargo turns to Google and Microsoft for its new digital infrastructure strategy.
September 15, 2021
Quarter of RIAs Now Charge Flat Fees: StudyIn a survey Advyzon also asked advisors how they preferred to bill their clients.
September 15, 2021
How the Pandemic Has, and Hasn't, Changed Wealth ManagementRitholtz Wealth Management CEO Josh Brown and other advisory firm execs discussed what's changed in their practices and how they invest.