The burden imposed by regulators on businesses, both in the U.S. and abroad, will continue to increase, according to a recent survey by Thomson Reuters Accelus of more than 600 global compliance officers...
An advisor told us the other day that he had $50MM in his pipeline. While that sounds great above the surface, if you dig a little deeper you find that this advisor has done a lot of speculating. Turns out, he wasn’t...
The data breach that hit Target late last year caused a flurry of concern over cyber security at institutions that hold client and customer information. But large companies such as Target may actually be better off than registered investment advi...
If you’re an advisor who is ready to leave a wirehouse, you’ve no doubt been doing your homework about making the transition to the independent space. You’ve been reading everything you can get your hands on, talked to other...
Nicholas Schorsch’s RCS Capital Corp.’s recent acquisition spree of independent broker/dealers has put the fear of God into some independent reps thinking “could my firm be next?”
The fear their firms will be acquired, fundamentally changing the...
The industry regulator slapped LPL Financial with a $950,000 fine on Monday, alleging the broker-dealer failed to adequately supervise sales of non-traded REITs and other alternative investment products...
FSI says excluding personal client data isn't enough to make CARDS feasible
Las Vegas: “I’d love to know what your research says about today’s elite financial advisors,” Jason remarked prior to my presentation, then specifically asked, “I’d love to know what marketing activities they...
