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The brokerage industry could push for a common rulebook for investment advisors, reviving the idea of FINRA as the SRO. “Even bad ideas never die,” said Schwab’s head of legislative and regulatory affairs.
Personal retirement accounts are foundational to building a successful financial advisory practice. Your practice may not specialize in retirement planning, but as clients and prospects approach their retirement years, your ability to attract and retain their business can define your growth.
Schwab’s chief technology officer predicts financial services firms will connect to the “rewired” investor with chat bots, virtual reality and machine learning, and that “we’re going to move past investment management as a focal point in five years.”
“One thing I’ve learned is that in the investment business, when you hear the word ‘never,’ it’s about to happen,” said bond guru Jeffrey Gundlach to a room full of advisors at Schwab IMPACT.
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