Added on August 2016 in Form an RIA
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Summary: Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.
Added on August 2016 in Form an RIA
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Summary: The majority of financial advisors believe they’ll have to change how they do business in light of the Department of Labor’s fiduciary rule, but few are aware of their firms’ plans to comply with the rule designed to force retirement brokers to put clients’ interests ahead of their own, according to a quarterly survey from Nationwide Retirement Institute.
Added on August 2016 in Form an RIA
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Summary: There's definitely a market for digital tools to help advisers navigate expected fiduciary requirements. But providers should tread carefully with their approach, as contemplating regulation-oriented tech upgrades drudges up bad feelings among some advisers about the rule.
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Added on August 2016 in Form an RIA
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Summary: Ryon Beyer recalls spending a week of 17-hour days gathering information that Securities and Exchange Commission examiners wanted in preparation for a routine inspection at the first advisory firm he worked for 14 years ago.
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Summary: There is always a dark side to success. The RIA market has been booming for years, consistently taking assets away from the traditional bank/wirehouse community, and now manages nearly $3 trillion in assets.
