More in Practice Management

  • Dec 18, 2014
    blog

    The Daily Brief: What's Your Succession Plan?

    The SEC is working on a rule that would require financial advisors to create transitions plans in case or retirement or a major disruption in their business....More
  • Dec 12, 2014
    blog

    The Daily Brief: What Retirement Crisis?

    There is no retirement crisis in America, writes Ramesh Ponnuru, for Bloomberg View. Instead, it's all a matter of how you decide to interpret the data....More
  • Dec 11, 2014
    Article

    Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

    Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams....More
  • Dec 10, 2014
    blog

    The Daily Brief: UBS Turns to AI

    If you can’t be ‘em, join ‘em, as they say, and UBS is looking for new ways to use its collection of customer data to compete with new financial products coming from Silicon Valley companies....More
  • Dec 8, 2014
    blog

    The Daily Brief: The Forgotten Generation?

    The sandwich generation, or Generation X, is not a focus for top players in the financial services industry, according to a recent Weber Shandwick report....More

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