More Advisor Audits Needed—Only Not From SEC: Pitt, Schweiss
By Gil WeinreichHarvey Pitt and Skip Schweiss agree: it's time to privatize advisor audits.
December 10, 2014
What the World Needs Now…Are Client AdvocatesThe securities industry seems to be moving toward fiduciary client advocate advisors. Unfortunately, it looks like it will take a new professional organization to get there.
December 09, 2014
Hearsay Social Streamlines Social Media Compliance PlatformHearsay Social says its made its social profile review, pre-approval features and automatic publishing solutions more efficient.
December 09, 2014
Some RCAP Sales Agreements Reinstated; Schwab, Fidelity Ease BanRCAP says that 70-plus selling agreements have been reinstated to date.
December 09, 2014
Morgan Stanley to Award More Bonuses Up FrontMorgans compensation committee agreed to defer future bonus pools at an average rate of 50% instead of 80%.
December 09, 2014
BDs’ Comments Lead FINRA to Update Communication, Gift RulesBDs request further guidance, updates on the two rules; FINRA's retrospective review process is ongoing.
December 08, 2014
Tony Robbins Slams Critics, Says He’s Not a Financial AdvisorSupercoach Tony Robbins, who invites seminar attendees to walk over hot coals, is now raking RIAs over the coals for taking pot shots at him.
December 04, 2014
Washington Wealth Adds $180M RepsThe independent hybrid RIA says it has added 12 advisors in about nine months.