Voya Settles $23 Million Fiduciary Breaches
Firm allegedly steered clients to more expensive cash and alternatives while failing to properly disclose $11 million costs. Compliance review coming.
Recent
SEC Finally Allows Marketing Testimonials
The technology used for communications has advanced, the expectations of investors have changed and the advisory world itself has diversified.
The New COVID RIA Employment Rules: From Virus To Vaccine
Reopening the office will require frank discussion about exposure and immunity. Some may choose to stay virtual for the rest of their working lives.
The Evolution Of The Client Engagement Model: What Financial Services Organizations Must Deliver
Over the last seven months, the needs of investors have intensified, and the engagement model between advisors and clients has completely changed.
The Challenges of Starting an RIA From Scratch
A brand new RIA, with few or no assets, presents unique challenges to a founder.
What Holiday Gifts Do Financial Advisors Send to Clients? – 2020 Study
Within the financial advisory and planning industry, holiday gifts often foster stronger advisor-client relationships.
Advisors, CPA Firms Should Prepare For A Second Round Of PPP Funds
The $908 billion coronavirus relief package that is currently being chiseled together by Congress may include a second PPP round of funds.
