Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the news that a recent survey from Charles Schwab indicates that advisors see technology as the biggest driver of change in the RIA industry, with the growing number of AdvisorTech solutions as the most frequently cited tech-related driver … Read more
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the news that a recent study by Cerulli has shown a sharp increase in the number of affluent investors willing to pay for advice, which on the one hand reflects the increasing financial complexity in peoples’ lives (while … Read more
Benefit from the present installment of “Weekend Studying For Monetary Planners” – this week’s version kicks off with the information that the SEC this week fined 4 RIAs for violations of its advertising and marketing rule associated to their claims that they supplied ‘conflict-free’ monetary recommendation. Which implies that whereas many fee-only RIAs use the … Read more
Benefit from the present installment of “Weekend Studying For Monetary Planners” – this week’s version kicks off with the information that the Treasury Division has finalized guidelines requiring most SEC-registered RIAs to implement risk-based Anti-Cash Laundering and Countering the Financing of Terrorism packages, together with a requirement to report suspicious exercise to Treasury’s Monetary Crimes … Read more
Benefit from the present installment of “Weekend Studying For Monetary Planners” – this week’s version kicks off with the information {that a} latest benchmarking examine means that plenty of RIAs wish to transfer ‘upmarket’ and work with wealthier purchasers by increasing their service menu to incorporate household workplace companies, funding banking, and/or belief companies. Nonetheless, … Read more
