From Think Advisor
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Summary: The Securities and Exchange Commission’s Division of Investment Management has released cybersecurity guidance to help advisors and funds address their cyber risks.
From InvestmentNews
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Summary: Finra chairman and chief executive Richard Ketchum told lawmakers on Friday that its controversial massive data-collection program is on hold while the regulator studies whether it would make brokerage information vulnerable to hackers. The CEO, however, did not suggest the proposal is dead.
From CNBC
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Summary: Some 58 percent of Americans believe their financial-planning efforts need improvement, but 34 percent of us have done nothing to plan for our financial futures, according to a newly released study by Northwestern Mutual.
From Linkedin
Added on April 2015 in M&A Issues
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Summary: As the leading independent lender to financial advisors, we have seen our fair share of deals. Some go right—and others go very, very wrong. From surprise last-minute changes to bumps within the seller transition, there really is no guarantee when it comes to selling or buying a book of business.
From Think Advisor
Added on April 2015 in Form an RIA
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Summary: As I painfully make my way through the long document that comprises the Department of Labor’s much anticipated (or dreaded) proposed rule changes for brokers that work with clients who have IRAs, the sentence that keeps running through my mind is: “We’ve been had.”
