From Think Advisor
Added on March 2015 in Form an RIA
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Summary: Like long-term care insurance and straight-through processing capabilities, people too often don’t realize the need for strict cybersecurity measures until they’re personally affected. Sure, lip service is routinely paid, but it too often takes a catastrophic situation to get someone’s attention.
From RIABiz
Added on March 2015 in Form an RIA
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Summary: Andrew McFadden started Panoramic Financial Advice out of his Fresno, Calif. home and cut costs to the bone -- except where only retail would do -- and isn't afraid to send micro-accounts to a competitor
From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: The issue of advisors’ fiduciary duty is top-of-mind these days, following announcements by both the Department of Labor and the Securities and Exchange Commission that they plan to move forward with rulemaking efforts requiring advisors to act in the best interests of their clients.
From wealthmanagement.com
Added on March 2015 in Form an RIA
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Summary: The Financial Industry Regulatory Authority (FINRA), Wall Street's self-funded watchdog, in a February report faulted some firms for having shoddy security policies, including their responses after cyber attacks.
From InvestmentNews
Added on March 2015 in Form an RIA
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Summary: The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a letter to the agency.
