Regulation & Compliance http://wealthmanagement.com/taxonomy/term/6625/more en Why Advisers Disagree About Hawking Their Performance http://wealthmanagement.com/marketing/why-advisers-disagree-about-hawking-their-performance <div class="field-byline"> Reuters </div> <div class="node-body article-body">Some financial advisers do not mind sharing information about the performance returns they have pulled in for clients. Those numbers, nonetheless, may come with a caveat.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/marketing/why-advisers-disagree-about-hawking-their-performance" target="_blank">read more</a></p> http://wealthmanagement.com/marketing/why-advisers-disagree-about-hawking-their-performance#comments Marketing Regulation & Compliance Careers Mon, 15 Sep 2014 15:09:00 +0000 653341 at http://wealthmanagement.com Copyright Spencer Platt, Getty Images Blurred Lines for Brokers, Bankers Create Supervision Worries http://wealthmanagement.com/industry/blurred-lines-brokers-bankers-create-supervision-worries <div class="field-byline"> Reuters </div> <div class="field-deck"> Banks are expected to increase their wealth management assets overall to $7.5 trillion by 2018 from $5.8 trillion through their bank-affiliated brokerages and other operations </div> <div class="node-body article-body">Banks are putting more brokers in the empty spaces of their branches, raising some potential problems as they work more independently from their day-to-day brokerage supervisors.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/industry/blurred-lines-brokers-bankers-create-supervision-worries" target="_blank">read more</a></p> http://wealthmanagement.com/industry/blurred-lines-brokers-bankers-create-supervision-worries#comments Industry Regulation & Compliance Thu, 11 Sep 2014 15:22:00 +0000 647741 at http://wealthmanagement.com Ingram Publishing/Thinkstock Cybersecurity Breaches Not Rare, Just Undetected http://wealthmanagement.com/technology/cybersecurity-breaches-not-rare-just-undetected <div class="field-deck"> Lack of detection instills a very dangerous false sense of security </div> <div class="node-body article-body">A new study finds only 4 percent of small to mid-sized RIA firms have experienced a cybersecurity attack. But others say those numbers are simply too good to be true, and could lull smaller advisors into a false sense of security.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/technology/cybersecurity-breaches-not-rare-just-undetected" target="_blank">read more</a></p> http://wealthmanagement.com/technology/cybersecurity-breaches-not-rare-just-undetected#comments RIAs Technology Regulation & Compliance Thu, 11 Sep 2014 13:00:00 +0000 650951 at http://wealthmanagement.com Jelena Zaric/Hemera/Thinkstock Why the Existing Fiduciary Rule Won’t Work for Brokerages http://wealthmanagement.com/blog/why-existing-fiduciary-rule-won-t-work-brokerages <div class="node-body blog-body">As part of Fiduciary September festivities, RBC Wealth Management’s John Taft challenged fiduciary standard advocates, and explained why the current standard won’t fly in the brokerage world. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/indie-advisor">Indie Advisor</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/why-existing-fiduciary-rule-won-t-work-brokerages" target="_blank">read more</a></p> http://wealthmanagement.com/blog/why-existing-fiduciary-rule-won-t-work-brokerages#comments Blogs Fiduciary Professions Regulation & Compliance Indie Advisor Tue, 09 Sep 2014 15:45:00 +0000 648731 at http://wealthmanagement.com Exclusive: Fund payments to brokerages draw SEC scrutiny http://wealthmanagement.com/industry/exclusive-fund-payments-brokerages-draw-sec-scrutiny <div class="field-byline"> Reuters </div> <div class="field-deck"> U.S. regulator began examining fees 18 months ago, final analysis by year's end </div> <div class="node-body article-body">The tens of millions of dollars in annual fees that mutual fund companies pay to brokerages and their financial advisers to encourage sale of certain funds to retail investors are growing in size and variety, but the phenomenon is largely invisible to investors.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/industry/exclusive-fund-payments-brokerages-draw-sec-scrutiny" target="_blank">read more</a></p> http://wealthmanagement.com/industry/exclusive-fund-payments-brokerages-draw-sec-scrutiny#comments Industry Legal Regulation & Compliance Fri, 05 Sep 2014 17:46:00 +0000 646371 at http://wealthmanagement.com The SEC Needs to Fix the Problem It Created http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created <div class="node-body blog-body">Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created#comments Blogs Legal Regulation & Compliance Rulebook Thu, 04 Sep 2014 21:54:00 +0000 645851 at http://wealthmanagement.com Social Media Compliance? It's As Easy As Green Eggs And Ham http://wealthmanagement.com/regulation-compliance/social-media-compliance-its-easy-green-eggs-and-ham <div class="node-body article-body">Social media compliance doesn't have to be scary. You may as well try it now, rather than running around in circles trying to avoid it.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/social-media-compliance-its-easy-green-eggs-and-ham" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/social-media-compliance-its-easy-green-eggs-and-ham#comments Business Planning Marketing Regulation & Compliance Practice Management Thu, 21 Aug 2014 13:00:00 +0000 634591 at http://wealthmanagement.com Ben Husmann/Flickr Is the Cyber Sweep Too Much to Handle? http://wealthmanagement.com/regulation-compliance/cyber-sweep-too-much-handle <div class="field-deck"> Many small advisors may not have the resources in-house to meet regulators’ expectations </div> <div class="node-body article-body">The recent regulatory focus on cyber security could be a rude awakening for many advisors. For most, it will require outside help and added costs. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/cyber-sweep-too-much-handle" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/cyber-sweep-too-much-handle#comments Technology Regulation & Compliance Fri, 15 Aug 2014 13:00:00 +0000 602511 at http://wealthmanagement.com merznatalia/iStock/Thinkstock Looking Under Mobile's Hood http://wealthmanagement.com/technology/looking-under-mobiles-hood <div class="field-deck"> The CFPB wants to make sure it understands how consumers are using mobile devices to access and manage their finances </div> <div class="node-body article-body">The fact that many of your clients use their smartphones to check account balances, deposit checks and pay bills has finally caught the attention of the Consumer Financial Protection Bureau (CFPB).</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/technology/looking-under-mobiles-hood" target="_blank">read more</a></p> http://wealthmanagement.com/technology/looking-under-mobiles-hood#comments Technology Regulation & Compliance Tue, 12 Aug 2014 15:40:00 +0000 628131 at http://wealthmanagement.com Copyright Joe Raedle, Getty Images A No-Win Job? http://wealthmanagement.com/regulation-compliance/no-win-job <div class="field-deck"> Branch-office managers at high risk of 'failure to supervise' infractions </div> <div class="node-body article-body">“Failure to Supervise” infractions have always been a vague, catch-all judgment, but to branch managers overseeing ever-larger networks of advisors, it’s an increasing threat.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/no-win-job" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/no-win-job#comments Marketing Regulation & Compliance Mon, 11 Aug 2014 16:53:00 +0000 627371 at http://wealthmanagement.com alphaspirit/iStock/Thinkstock