A new Corporate Insight report offers a brief history of the development of financial services technology security measures introduced since 1996—delivering for retirement plan fiduciaries important contextual information about today’s evolving best practices.
New research follows previous Cerulli analyses showing home-office discretion over advisory clients' investment exposures will increase significantly under the DOL fiduciary rule and other competitive pressures.
Presented here are the results of several dozen live polling questions fielded at the 2017 PLANADVISER National Conference, gathered during three days of highly detailed discussion of industry trends, challenges and best practices.
From a rapidly evolving recordkeeping provider landscape to
a potential wholesale rewrite of the tax treatment of retirement assets,
today’s environment puts advisers and their clients in a constant
state of flux.
In conversation with PLANADVISER, cybersecurity attorney and
former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms
to have a senior executive “not just appointed but also empowered” as the chief
information security risk officer.
The principal of financial adviser inclusion and diversity
at Edward Jones reflects on her job leading the advisory company’s revamped
diversity efforts—informed by her own first career as an adviser in the field.
The financial services and retirement advisory industry has collectively
invested tens, if not hundreds of millions of dollars in the last decade to
boost the use of big data technology; one researcher asks how it’s all paid