Don't Let Your Cybersecurity Policy Slip
By Thomas D. GiachettiThe SEC has been clear on what it expects from advisors on data protection. Are you up to speed?
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.
March 26, 2019
How Car Accidents Can Wreck Retirement AccountsMore than 3 million Americans have auto accidents each year. Advisors need to coach their clients to be fully covered.
March 26, 2019
NFP Buys Bronfman Rothschild, Betting Big on RIA GrowthThe news comes three years after NFP moved to sell its advisory brokerage business -- with 1,400 advisors -- to Stone Point Capital.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 25, 2019
Advisors' Advice: 9 Big Mistakes We MadeAdvisors talked about mistakes they have made in their careers and how they moved forward.
March 21, 2019
Morgan Stanley Loses Advisors to Raymond James, RIA: Recruiting RoundupMeanwhile, Baird adds an advisor from Wells Fargo, and Ameriprise picks up a former LPL Financial affiliated rep.
March 20, 2019
Advanced Analytics Turbo Charge Advisor Efficiency, PerformanceThe future is now, according to a new McKinsey paper that outlines how asset managers are enhancing their businesses.