 We hear advisors trying to keep in touch with the SEC exam cycle and prepare for it. It’s keeping up with the current environment” that consumes advisors’ time.”David Canter, Fidelity Institutional Wealth Services. |
Beware Robos and Regulators, Custodians Warn
Chris Latham | Financial Advisor IQ, January 2015
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Summary: Advisors will spend lots of time this year figuring out how to adapt to new technology and to potential changes in regulations, according to executives at major custodians and tech vendors.
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