From InvestmentNews
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Summary: The Securities and Exchange Commission’s office of Compliance Inspections and Examinations released a report on observations relating to cybersecurity and best practices by financial market participants.
From Advisor Perspectives
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Summary: The stories of Sheetz and Wawa and how they shifted the focus of their brands offer a fantastic marketing lesson to every financial advisor.
From ThinkAdvisor
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Summary: Add business email compromise, aka BEC, to your list of business cyber risks. It’s a growing risk and spreading around the world, according to Michael Driscoll, FBI special agent in charge, Counterintelligence/Cyber Division, in the bureau’s New York office.
From InvestmentNews
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Summary: I often field questions about which adviser fee model is the best: commissions, fee-based, AUM-based or a subscription. Financial compensation drives adviser behavior to a degree, and therefore some compensation models are better than others. But the assessment needs to go beyond compensation – it needs to focus on value.
From Financial Planning
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Summary: I offended an entire table of fellow financial advisors while attending a conference last year when I made this statement: “Everyone at this table makes too much money relative to what we do.”
