From WealthManagement.com
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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.
From Financial Planning
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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.
From InvestmentNews
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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.
From Financial Planning
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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.
From CNBC
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Summary: Some of the cybersecurity best practices for advisors are smart moves for consumers, too.
