Added on November 2018 in Form an RIA
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Summary:A best interest standard for investment advice will only protect investors if it's rooted in a fiduciary obligation, the mother of the Department of Labor's fiduciary rule said Monday.
Added on October 2018 in Form an RIA
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Summary: The push to broaden fiduciary protection for investors at the federal level is looking more and more like a lost cause, so states are starting to step into the void. And that’s prompting some disagreements among organizations that represent financial planners.
Added on October 2018 in Form an RIA
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Summary: In the past, advisors met their clients in person, made a phone call or maybe sent an email, but now clients and brokers can communicate anytime across a far wider variety of mediums. Text messages, Facebook, WhatsApp, Twitter, Skype, WeChat, Instagram: All these channels can be used to conduct business. They can also be used for other nefarious activities, presenting financial services companies with the daunting task of ensuring that all staff interactions meet compliance obligations.
Added on October 2018 in Form an RIA
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Summary: The number of new advisors filing with the SEC as RIAs increased 20% in 2017 from the year before and has swelled 59% over the past five years, according to an analysis by Schwab Advisor Services.
Added on September 2018 in Form an RIA
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Summary: Having worked in many business settings throughout my career that were primarily male, I’ve found that it is easy for women to believe we have to be something we’re not. We have to live up to standards that are put upon us and standards that we put upon ourselves. One common standard is “being strong.”
