Pandemic Didn’t Stop SEC From Examining 15% Of RIAs
During the 2020 fiscal year, the SEC Office of Compliance Inspections and Examinations (OCIE) conducted more than 2,950 examinations.
Recent
Survey Says? More Financial Advisors Thinking of Outsourcing
The coronavirus pandemic is altering an array of industries, including finance, and how advisors are working with clients.
Redtail Technology Survey Uncovers 86% of Advisors Were Technologically Prepared to Work from Home
A study of 1750 financial advisory employees has discovered that the majority of respondents were prepared for a seamless transition to work from home
Only 23% of Financial Advisors Have a Defined Marketing Strategy, According to Broadridge Study
The study found that only 49% of advisors are confident that they will meet their practice growth goals within the next 12 months.
What the RIA Landscape May Look Like in 2025 and Beyond
RIA channels are in an advantageous position, but regulatory changes, the pandemic and new competitive threats have introduced headwinds.
UBS Wealth Picks Ex-NFL Pro Bowler to Lead Athlete Segment
Adewale Ogunleye says the industry has failed to ‘speak athletes’ language,’ leaving them vulnerable to bad advice.
Advisor Arrested By FBI After Submarine Chase
The California man was wanted by the FBI for his part in an alleged $35 million Ponzi scheme.
