From Financial Advisor Magazine
Added on November 2014 in Form an RIA
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Summary: Financial advisors could face enforcement actions for not deleting misleading social media posts, said Katy Gordon, senior counsel at the Securities and Exchange Commission’s investment management division, who spoke Friday at an American Bar Association Business Law Section seminar on social media in Washington, D.C.
From Financial Advisor IQ
Added on November 2014 in Form an RIA
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Summary: Social media are increasingly important for advisors, whose business depends on building trusted relationships with clients. Voya has made it a priority to provide our brokerage advisors with the resources to let them engage online confidently and securely.
From Think Advisor
Added on November 2014 in Form an RIA
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Summary: Among the top Dodd-Frank Act rulemakings that the Securities and Exchange Commission will focus on in fiscal 2015 are evaluating recommendations from a staff report to consider a uniform fiduciary standard for investment advisors and broker-dealers as well as finding ways to harmonize rules for advisors and brokers, the agency said in its just-released financial report for fiscal 2014.
From Financial Planning
Added on November 2014 in Form an RIA
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Summary: with all the arguments and lobbying around the fiduciary standard, I think the profession is in danger of forgetting the big picture. The fight over the “fiduciary” label is really just one more battle in a long war between professionals and sales agents.
From Investment Advisor
Added on November 2014 in Form an RIA
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Summary: That decision, as difficult as it might have been, now leads to a host of other questions you must ask yourself, and some outside experts, before you’re able to hang up your own RIA shingle.
