Tag: Business model

Clear Ground Rules Essential With 3(38) Fiduciary Clients

Experts share strategies for helping advisers taking on 3(38) fiduciary clients understand how they can set up the right processes and procedures—up front—for dealing with client concerns and questions about the investment menu.

Sellers’ Market Brings Succession Planning to the Fore

RIA industry analysts and executives agree that it’s a “sellers’ market” when it comes to acquisitions and mergers among independent advisory shops; they warn many potential sellers are ill-prepared for an ownership transition.

Former SEC Enforcer Reviews Regulator’s 2019 Agenda

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted the SEC’s increased focus on suitability issues and cybersecurity.

State-Based Fiduciary Regulations Take Shape in 2019

Regulators and legislators in a growing number of states say they are acting to fill a perceived void created by federal government disengagement; just last week, a long-awaited Nevada proposal was made public.

RBG and Triad Discuss Recently Confirmed Affiliation

Triad and Resources Investment Advisors say the recruitment of Retirement Benefits Group reflects the way retirement-focused advisers are seeking integrated practice management solutions and hands-on support from brokerage and custody service providers.