The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC
By David TittsworthAt the Investment Adviser Associations annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and whats coming next, especially from the SEC.
March 11, 2013
As Dually Registered Advisors’ Assets Grow, SEC Zeros InJust as the SEC beefs up its oversight of dually registered advisors, new research from Cerulli Associates finds the dually registered channel is one of the fastest growing.
March 08, 2013
3 Financial Planning Business Models to Effectively Serve Gen X and Gen Y: Pt. 2Ideally, comprehensive financial planning services for today's young professionals should be implemented with a more clearly defined niche.
March 07, 2013
SRO Is Key to Boosting Advisor Exams: Former SEC Chief PittThe SEC cant handle examining advisors, Harvey Pitt said at the Investment Adviser Association conference.
March 07, 2013
Client Engagement on the Rise: Advisor ImpactA new report from Advisor Impact found that nine out of 10 clients said the advice they received played an important or critical role in meeting their financial goals.
March 05, 2013
3 Financial Planning Business Models to Effectively Serve Gen X and Gen Y: Pt. 1A planner for the price of gym and cable, and two other ways to tap this underserved market.
March 04, 2013
SEC Finds Significant Custody ViolationsThe SEC issued Monday a risk alert on compliance with its custody rule for investment advisors as well as an investor bulletin about the rule.
March 01, 2013
Are Your Investments Tax-Efficient?Despite Washington's antics, many of the issues with tax-efficient investing have remained surprisingly constant, David Peterson of United Capital says.