Added on August 2017 in Form an RIA
0 visitor like this article | Viewed 3127 times | 0 comment
Summary: Allowing investors to pursue class actions against advisors, broker-dealers and insurance companies under the Labor Department’s controversial fiduciary standard rule is almost certainly the loudest objection voiced by its foes in the industry. Consequently, that critical issue warrants close attention, Skip Schweiss, managing director of advisor advocacy and industry affairs at TD Ameritrade Institutional, tells ThinkAdvisor in an interview.
Added on August 2017 in Form an RIA
0 visitor like this article | Viewed 2987 times | 0 comment
Summary: Registered investment advisers will have to provide more client account data and social media information in a revised Securities and Exchange Commission registration form that will go into effect this fall.
0 visitor like this article | Viewed 573 times | 0 comment
Summary: Selecting a custodian, finding office real estate in three cities, choosing new reporting software ― those were easy tasks compared to the struggle of picking a name.
0 visitor like this article | Viewed 2827 times | 0 comment
Summary: At BNY Mellon's Pershing Advisor Solutions Regional Symposium in New York City on Wednesday, Brian Hamburger, the founder, president and CEO of the regulatory compliance and consulting firm MarketCounsel, outlined three areas of top concern for RIAs right now: standing letters of authorization, the Department of Labor’s retirement-savings rule and, or course, cybersecurity.
0 visitor like this article | Viewed 3794 times | 0 comment
Summary: When you hear the terms financial advisor, wealth manager, financial planner, financial consultant and broker do you assume they are synonymous? Do you expect them all to provide you with similar – and equally beneficial – services?
