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.
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The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
10h ago -
Gabriel Kaplan of Wealth Habits used to give his virtual assistant around 20 hours per month of work. AI tools in his tech stack have greatly reduced that amount.
May 20 -
Conventional wisdom says that financial advisors choose to work in areas based on factors like the presence of wealthy families. That doesn't seem to be the case in a post-pandemic world.
May 20 -
The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.
May 19 -
Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.
May 19 -
The Cincinnati-based bank has partnered with the fintech Trust & Will to make estate planning easy, accessible — and free.
May 19