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Summary: In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations.
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Summary: There’s one crucial question I ask of clients before I start working with them. It often doesn’t take too long to answer, but it can determine if I accept these people as clients or not.
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Summary: Recent high-profile cyberattacks underscore the importance of tracking how and where client data is used, transferred and stored by third party vendors to RIAs. The reality is, "the cloud" is not – and never was – a cybersecurity solution.
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Summary: CHICAGO - Your best clients give you cookies at Christmas. They hug you when they see you. They know the names of your children. But they won't give you a referral.
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Summary: Some of the cybersecurity best practices for advisors are smart moves for consumers, too.
