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Summary: The Securities and Exchange Commission announced the 2019 examination priorities for compliance examinations and inspections late Thursday. Next year, according to the SEC’s Office of Compliance Inspections and Examinations, emphasis will be put on digital assets, cybersecurity and investor issues like fees, expenses and conflicts of interest.
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RIA Match celebrates nearly 5,000 subscribers, the launch of our newest service, RIA Match Concierge Jump Start and the complimentary promotion of your My Story profile.
We look forward to serving our Advisor Community in 2019. We wish you continued success in the New Year!
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Summary: Despite recent stock market struggles, wealth management remains one of the strongest-performing sectors in financial services around the globe, according to Deloitte’s 2019 Banking & Capital Markets Outlook report. Macroeconomic trends, the movement towards fee-based relationships and favorable demographic shifts all give reason for continued optimism going into 2019.
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Summary: Folio Financial says it has rolled out a new robo-advisor platform for both financial professionals and investors that includes tools for goals-based financial planning and specialized portfolio building.
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Summary: Chris Chen was 18 years old when he moved to the U.S. from Europe, where his Chinese father and German mother met each other in Spain. Mr. Chen was born in Switzerland and grew up in Belgium and France before his family moved to America in 1978, just in time for college at the University of Rochester in New York.
