In the current business and regulatory environment, firms and financial professionals have to know that their controls will protect client data. Use this cybersecurity preparedness self-assessment checklist to help determine whether you need to make upgrades, so that you can know exactly what to do and work more effectively with your IT services provider.
Advisors know that a transition plan is important, but many fall into the trap of procrastination.
Plus, Cetera adds a $1.9B tax-focused firm, Choreo acquires two RIAs, and Modern Wealth expands in New York.
Advisors can maintain professional certifications while keeping up to date on important issues in tax planning, compliance and more.
Looking for a new challenge, Mark Seither found the complexities of pilot compensation and tax planning to be a niche that energizes him.
Fixed-income ETFs are rapidly gaining popularity among advisors, driven by growing familiarity, diverse offerings and strong asset flows, new Cerulli research shows.
Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically mean greater supervision duties with RIAs.
