From InvestmentNews
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Summary: The Securities and Exchange Commission is working on a rule that would require investment advisers to develop a continuity plan for their practices that would go into effect when they leave or become incapacitated, agency Chairman Mary Jo White said Thursday
From Think Advisor
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Summary: Financial advisors needn’t fear the ravages of disruptive technology. They can grab the bull by the horns and ride it themselves. That may be the overriding message of experts in advisor technology, including Spencer Segal and Eric Poirier, speaking at MarketCounsel’s annual conference in Las Vegas on Wednesday
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 Think Advisor
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Summary: Can U.S. investors obtain justice? The discouraging answer is that if you’re a billionaire prepared to give up five years of your life waging a full-court defense, then justice might eventually prevail.
From Financial Advisor IQ
Added on December 2014 in Join an RIA
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Summary: If the movement of wealth-management assets to the RIA channel is akin to a gold rush, New York-based Dynasty Financial Partners wants to be its Levi Strauss — a company that got rich selling supplies to miners instead of staking its own claims.
