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Regulations complicate RIA independence, FSI OneVoice panel

July 27, 2021 12:46 PM
The challenge of keeping up with regulatory requirements is so serious that industry observers suggest that the truly independent, small RIA model where the principal might also handle compliance with the aid of an outside vendor is no longer viable.
Gone are the days of getting compliance in a box for $5,000 and surviving for a year, said Desireé Sii, president and CEO of SagePoint Financial. Advisors truly don t know what it entails until the regulator s in their office, and then it s too late.
But the lure of independence is strong. In its 2020 report on advisor movement, Fidelity reported that, on a percentage basis, the independent RIA model had the most growth of any segment. That’s based on data from research and consulting firm Cerulli that counted advisors who moved to that channel compared with those who left it. By contrast, wirehouses and regional broker-dealers both saw net losses in their advisor ranks. ....

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Co Tyrone family's plea after tragic death of musician who had bad reaction to antidepressant

Co Tyrone family's plea after tragic death of musician who had bad reaction to antidepressant
belfastlive.co.uk - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from belfastlive.co.uk Daily Mail and Mail on Sunday newspapers.

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Film Production in the Capital Region Thrives Despite a Year of Uncertainty

Film Production in the Capital Region Thrives Despite a Year of Uncertainty
comstocksmag.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from comstocksmag.com Daily Mail and Mail on Sunday newspapers.

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Film Production in the Capital Region Thrives Despite a Year of Uncertainty

Film Production in the Capital Region Thrives Despite a Year of Uncertainty
comstocksmag.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from comstocksmag.com Daily Mail and Mail on Sunday newspapers.

New York , United States , American River College , American River , Amador County , Mckinley Park , Emerald Bay , Yolo County , San Joaquin River , Fallen Leaf Lake , Sacramento International Airport , Beverly Hills , River Edge , University Of The Pacific , El Dorado County , Jeanne Tripplehorn , Keanu Reeves , Ray Liotta , Noah Baumbach , Laurie Metcalf , Gavin Newsom , Bill Paxton , Mike Testa , Jones Harrison Ford , Greta Gerwig , Los Angeles ,

SCVNews.com | Newsom Signs Bipartisan Bill Expanding State's Film/TV Tax Credit

SCVNews.com | Newsom Signs Bipartisan Bill Expanding State's Film/TV Tax Credit
scvnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from scvnews.com Daily Mail and Mail on Sunday newspapers.

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