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  • The Importance of Cybersecurity Policies

    Posted by Reid Stone
    |Date: 2:22 pm
    | 0 comments
    |159 Views
    The Importance of Cybersecurity Policies

    The Importance of Cybersecurity Policies

    The second of two articles on cybersecurity this week.  This one looks at the IT governance program an R ...

    The second of two articles on cybersecurity this week.  This one looks at the IT governance program an RIA firm implemented.  It is based on the National Institute of Standards and Technology (NIST) ...

    2:22 pm
    | by Reid Stone
    | 0 comments
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  • New Cybersecurity Laws Provide Direction, and Hurdles, for Advisors

    Posted by Reid Stone
    |Date: 5:55 pm
    | 0 comments
    |217 Views
    New Cybersecurity Laws Provide Direction, and Hurdles, for Advisors

    New Cybersecurity Laws Provide Direction, and Hurdles, for Advisors

    Technology has revolutionized this sector, but in doing so, it has opened financial advisors and other in ...

    Technology has revolutionized this sector, but in doing so, it has opened financial advisors and other industry professionals to threats and liabilities in ways never before imagined. The article goes ...

    5:55 pm
    | by Reid Stone
    | 0 comments
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  • SEC Fiduciary Advice Rule Winners and Losers

    Posted by Reid Stone
    |Date: 11:33 pm
    | 0 comments
    |230 Views
    SEC Fiduciary Advice Rule Winners and Losers

    SEC Fiduciary Advice Rule Winners and Losers

    The SEC advice rule is creating a lot of buzz, and, depending upon your place in the industry, there are ...

    The SEC advice rule is creating a lot of buzz, and, depending upon your place in the industry, there are very different response to what the rule will likely look like.  This summary is from Bob Vere ...

    11:33 pm
    | by Reid Stone
    | 0 comments
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  • Top 6 Fee, Expense Failures That SEC Will Bust You For

    Posted by Reid Stone
    |Date: 6:31 pm
    | 0 comments
    |270 Views
    Top 6 Fee, Expense Failures That SEC Will Bust You For

    Top 6 Fee, Expense Failures That SEC Will Bust You For

    The Securities and Exchange Commission’s exam division released Thursday a Risk Alert detailing the top ...

    The Securities and Exchange Commission’s exam division released Thursday a Risk Alert detailing the top compliance failures relating to fees and expenses charged by advisors that were cited most fre ...

    6:31 pm
    | by Reid Stone
    | 0 comments
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  • 3 Types of Cyberattacks and How to Avoid Them

    Posted by Reid Stone
    |Date: 1:08 am
    | 0 comments
    |331 Views
    3 Types of Cyberattacks and How to Avoid Them

    3 Types of Cyberattacks and How to Avoid Them

    An expert in cybersecurity looks at four questions you need to answer to be prepared for a cyberattack.  ...

    An expert in cybersecurity looks at four questions you need to answer to be prepared for a cyberattack.  If you cannot answer these, your firm is unprepared. Read more... ...

    1:08 am
    | by Reid Stone
    | 0 comments
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  • Practical Tips to Prepare for an SEC Exam

    Posted by Reid Stone
    |Date: 9:57 pm
    | 0 comments
    |390 Views
    Practical Tips to Prepare for an SEC Exam

    Practical Tips to Prepare for an SEC Exam

    At some point the SEC will come knocking at your day.  If you aren't prepared, this can be a stressful t ...

    At some point the SEC will come knocking at your day.  If you aren't prepared, this can be a stressful time.  Learn how to be prepared for an audit so it goes smoothly. Read more... ...

    9:57 pm
    | by Reid Stone
    | 0 comments
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  • What Advisors Need to Know About the New Form ADV

    Posted by Reid Stone
    |Date: 7:08 pm
    | 0 comments
    |344 Views
    What Advisors Need to Know About the New Form ADV

    What Advisors Need to Know About the New Form ADV

    Completing your Form ADV Part 1A could be a little more complicated this year due to changes in the requi ...

    Completing your Form ADV Part 1A could be a little more complicated this year due to changes in the requirements. Learn about the changes and how this could impact your filing. Read more... Another ar ...

    7:08 pm
    | by Reid Stone
    | 0 comments
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  • A Social Media Compliance Guide for Financial Advisors

    Posted by Reid Stone
    |Date: 4:00 pm
    | 0 comments
    |503 Views
    A Social Media Compliance Guide for Financial Advisors

    A Social Media Compliance Guide for Financial Advisors

    The title says it all...a great list of what advisors need to be aware of when using social media. Read m ...

    The title says it all...a great list of what advisors need to be aware of when using social media. Read more... ...

    4:00 pm
    | by Reid Stone
    | 0 comments
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  • What’s Behind the Anti-Fiduciary Mindset?

    Posted by Reid Stone
    |Date: 4:15 pm
    | 0 comments
    |254 Views
    What’s Behind the Anti-Fiduciary Mindset?

    What’s Behind the Anti-Fiduciary Mindset?

    The article by Bob Veres covers in great detail the points made in a recent debate on the fiduciary stand ...

    The article by Bob Veres covers in great detail the points made in a recent debate on the fiduciary standard and DOL Rule.  The debate was between fiduciary advocate Knut Rostad and fiduciary skeptic ...

    4:15 pm
    | by Reid Stone
    | 0 comments
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  • CFP Board Commission On Standards Expands CFP Fiduciary…But Can It Enforce Them?

    Posted by Reid Stone
    |Date: 4:05 pm
    | 0 comments
    |397 Views
    CFP Board Commission On Standards Expands CFP Fiduciary…But Can It Enforce Them?

    CFP Board Commission On Standards Expands CFP Fiduciary…But Can It Enforce Them?

    Another fantastic analysis from Michael Kitces on the newly proposed Conduct Standards for CFP holders ...

    Another fantastic analysis from Michael Kitces on the newly proposed Conduct Standards for CFP holders.  Surprised it hasn't sparked more questions and comments on his site. Will this cause the i ...

    4:05 pm
    | by Reid Stone
    | 0 comments
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