From Think Advisor
Added on December 2014 in Form an RIA
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Summary: The SEC’s examinations of independent advisors have become as rare as they are dreaded, thus adding potentially unfair pressure to the few who are scrutinized while disserving the public by letting most advisors go unaudited.
From wealthmanagement.com
Added on December 2014 in Form an RIA
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Summary: One of the major themes in the independent financial advisory space in recent years has been the explosive growth of the hybrid Registered Investment Advisory (RIA) firm, a model in which advisors operate their own RIA firm for fee-based business, and simultaneously leverage a broker-dealer for commission-based products.
From Financial Advisor Magazine
Added on November 2014 in Form an RIA
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Summary: Financial advisors could face enforcement actions for not deleting misleading social media posts, said Katy Gordon, senior counsel at the Securities and Exchange Commission’s investment management division, who spoke Friday at an American Bar Association Business Law Section seminar on social media in Washington, D.C.
From Financial Advisor IQ
Added on November 2014 in Form an RIA
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Summary: Social media are increasingly important for advisors, whose business depends on building trusted relationships with clients. Voya has made it a priority to provide our brokerage advisors with the resources to let them engage online confidently and securely.
From Think Advisor
Added on November 2014 in Form an RIA
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Summary: Among the top Dodd-Frank Act rulemakings that the Securities and Exchange Commission will focus on in fiscal 2015 are evaluating recommendations from a staff report to consider a uniform fiduciary standard for investment advisors and broker-dealers as well as finding ways to harmonize rules for advisors and brokers, the agency said in its just-released financial report for fiscal 2014.
