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.
An open letter penned by the Consumer Federation of America warns that some players in the investing industry may be sending false signals as to the impact of the widespread shift toward fee-based accounts.
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.
A lawsuit filed by UBS against a number of former brokers—accused
of too aggressively soliciting old clients immediately after going independent—shows
plan participants aren’t the only source of potential litigation.