Cerulli categorizes consolidator firms into three segments, and “The merits and drawbacks of each segment’s business model will often depend on the adviser’s motivations for affiliating with a larger partner.”
Only 27% of RIAs surveyed by TD Ameritrade suggest that “cybersecurity issues,” even when very broadly defined, are likely to impact client portfolios during 2018; experts suggest this is just wishful thinking.
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.