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Thursday, June 17, 2021

5 Articles for the financial advisor weekend reading list: November 17-18, 2018

Here are five suggested articles for financial advisors to read this weekend:

1. Building The Five Pillars Of SEC Cybersecurity Requirements As A (Registered) Investment Adviser – Over the past few years, several high-profile data breaches have hit major US corporations, including Target, Home Depot, and Equifax, bringing into sharp focus the need for individuals and businesses to protect and defend their personal data.

2. Offering an Effective Retirement Plan Starts with Education on Tools and Resources – Offering an effective retirement plan means bridging the knowledge gap and teaching your employees how to make the most of this important benefit.

3. Fred Reish: What Does ‘Best Interest’ Really Mean? – “Best Interest” has become part of the American lexicon …as an aspirational goal or a demanding standard—depending on the point of view. But what does best interest mean?

4.  Retirement Plan ERISA Litigation Trends Still Heating Up – According to Jamie Fleckner, partner with Goodwin Procter, and Jodi Epstein, partner with Ivins Phillips & Barker, there is unlikely to be anything like a slowdown in the pace of Employee Retirement Income Security Act (ERISA) lawsuits filed against retirement plan sponsors and providers.

5. SEC Investor Advisory Committee Calls for Stronger Best Interest Regulations – The Securities and Exchange Commission (SEC)’s Investor Advisory Committee (IAC) submitted its views on the SEC’s proposed Regulation Best Interest, Form CRS and proposed Investment Advisers Act fiduciary guidance.


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