RIA in a Box Enables Automated Communications Archiving and Review
It also helps wealth management RIAs be better prepared for examinations.
Tag: registered investment advisers
Products
Deals & People
Investment Product and Service Launches
Lincoln Financial Group releases new guaranteed lifetime income option; MUFG adds Broadridge loan tracker; and USI Advisors adds Investment Metrics portfolio solution.
Mergers and Acquisitions Hit Hard by COVID-19
Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.
Products
Practice Management
Investing
Compliance
Investment Product and Service Launches
RIA education organization rebrands; USCF adds nultiple ETPs to TD Ameritrade platform; Transamerica alters subadvisers, fees for Large Growth Fund; and more.
Registered Advisers Often Confused by Custody Reporting
Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the asset management industry.
Many Asset Managers De-Channel Their Salesforces
They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.
Cybersecurity Is RIAs’ Biggest Compliance Concern
This is the fifth year in a row they have identified cybersecurity as their No. 1 concern.