From Think Advisor
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Summary: Cybersecurity “enforcement has begun,” Thomas Hibarger, managing director of Stroz Friedberg, warned Wednesday at the Securities Enforcement Forum in Washington, adding however that enforcement is “not a trend yet.”
From Financial Advisor IQ
Added on November 2015 in M&A Issues
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Summary: The push by more owners to tackle succession planning, along with an aging workforce — not to mention six-plus years of rising financial markets — is driving a surge in mergers and acquisitions in the financial-advice industry.
From InvestmentNews
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Summary: Financial firms — including financial advisers — are still coming up short in managing their cybersecurity efforts, according to External IT, which provides unified cloud computing to the financial services industry.
From On Wall Street
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Summary: A formalized onboarding process is meant to establish the details of how the advisor plans to work with the new client... That means, for instance, determining the services, beyond security selection and investment performance, that the advisor will provide for the client and their families, deciding how the advisor will be paid for their services and setting expectations for how the advisor will communicate with the client.
From Think Advisor
Added on November 2015 in Join an RIA
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Summary: LPL Financial (LPLA), the largest independent broker-dealer in the U.S., announced Monday a college internship program, developed in partnership with Private Advisor Group, one of the largest firms on its hybrid RIA platform.
