Outsourcing Compliance Officer Role Can Be Rife With Risk: SEC
By Melanie WaddellSEC exam division urges advisors employing outside compliance providers to be especially mindful of their obligations under the SECs compliance rules.
November 05, 2015
A New Approach to Talent for Next-Gen Advisors Reaching Next-Gen InvestorsThis is a case study on how Securities America, an independent BD, has taken steps to support their next-gen advisors.
November 05, 2015
Top 6 Cybersecurity Mistakes Financial Firms Make: External ITAn External IT paper looks at how to help firms prepare for the next round of cybersecurity-related testing by the SEC.
November 04, 2015
Cerulli Sees 2,500% Jump in Robo Assets in Next 5 Years"Low-minimum, low-cost portfolios, coupled with consumers expanding interest in passive investing will fuel this growth," Cerulli's Tom O'Shea says.
November 03, 2015
Riskalyze Combines 3 Products in Real-Time PlatformOne new feature: In a click, advisors will be able to certify that they have fulfilled all their fiduciary responsibilities.
November 03, 2015
FSI Urges Advisors to Prepare for ‘Post-DOL World’Trade group spells out what many changes will look like as new fiduciary rules move forward in Washington.
November 02, 2015
25% of Wirehouse Advisors May Go Indie by ‘19: CerulliBy 2019, 72% of wirehouse advisors who say they have a retention contract at their current broker-dealer report that their contracts will expire, according…
November 02, 2015
The Advisory Profession's Greatest TraitWhen the definitive history of the advisory profession is written, I hope it includes a treatment of its most charming and distinctive trait: advisors' willingness to share their wisdom.