by OnBord | Advisor Advice
For broker-dealers and RIA member firms in the securities industry, navigating compliance with electronic books and records rules and federal securities laws requires meticulous attention to detail – a point starkly illustrated by the SEC’s September 2024...
by OnBord | Advisor Advice
Running a wealth management firm today means balancing growth with compliance. As M&A activity continues and advisor transitions accelerate, your digital onboarding systems must maintain compliance with FINRA Books and Records Retention Requirements and federal...
by OnBord | Advisor Advice
Financial advisor transition software has become crucial for registered investment advisor (RIA) firms seeking to attract top talent. With M&A activity continuing to rise and no signs of slowing down, having the right transition tools can determine whether...
by OnBord | Client Experience
Transferring accounts in the client onboarding process between financial institutions can be a cumbersome process, especially when relying on manual documentation. A digital onboarding process can streamline this experience, reducing errors in data collection,...
by OnBord | Advisor Advice
Financial advisors are transitioning between firms more frequently as mergers and acquisitions (M&A) activity has been hot over the past few years. And given the average age of financial advisors is around 60, ownership of many practices will be changing in...
