From On Wall Street
Added on April 2015 in Form an RIA
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Summary: Advocates are gaining momentum in the already contentious debate over a new fiduciary standard, while opponents warn the rule-making process needs to slow down.
From Financial Advisor Magazine
Added on April 2015 in Form an RIA
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Summary: The SEC has elevated Office of Compliance Inspections and Examinations Deputy Director Marc Wyatt to to acting director of the unit, which is responsible for examining financial advisors.
From InvestmentNews
Added on April 2015 in Form an RIA
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Summary: The Securities and Exchange Commission should develop a database that compiles information about securities law violations and is easy to use for investors, especially the elderly, an advisory group said Thursday.
From Think Advisor
Added on March 2015 in Form an RIA
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Summary: Like long-term care insurance and straight-through processing capabilities, people too often don’t realize the need for strict cybersecurity measures until they’re personally affected. Sure, lip service is routinely paid, but it too often takes a catastrophic situation to get someone’s attention.
From RIABiz
Added on March 2015 in Form an RIA
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Summary: Andrew McFadden started Panoramic Financial Advice out of his Fresno, Calif. home and cut costs to the bone -- except where only retail would do -- and isn't afraid to send micro-accounts to a competitor
