The following is an edited transcript of the round-table discussion.
How do you become a better communicator? Learn how in the first of a four-week step-by-step program.
Top management at H&R Block Inc., parent of H&R Block Financial Advisors Inc., allegedly turned up the heat and threatened a senior executive in the middle of an acrimonious dispute over compensation, according to an arbitration complaint that led to a $4 million award to the executive last month.
As demand for advisers increases, firms need to project recruitment strategies out to 2012, said Rebecca Pomering of Moss Adams.
Skip Schweiss will stay with the legacy Fiserv Investor Support Services business after all.
Technology to help automate and improve the compliance function may not ring a financial adviser's cash register, but it certainly can reduce the time-consuming and potentially costly problems that compliance failures create.
Self-reporting in areas such as the retention of e-mails “is more of an art than a science,” said the CEO of ING.
A majority of the 350 companies initially contacted by the SEC have now received second letters.
Dalbar Inc., a financial services market research firm, has tapped an ex-insurance executive to start a division catering to the needs of compliance departments.
Compliance spending grew an average of 159% from 2002 to 2006, according to a report.
A top brokerage executive affiliated with a unit of Allianz Life Insurance Company of North America bought shares of unregistered investments created by Edward May, who was charged last month by the Securities and Exchange Commission with committing a massive $250 million fraud that victimized as many as 1,200 investors.
When wooing Bancroft family heirs to sell him their controlling interest in New York-based Dow Jones & Co. Inc., K. Rupert Murdoch learned that money isn't everything.
As Securities America Inc. deals with the sting of losing one of its biggest advisers, the independent broker-dealer continues to tighten its compliance practices and procedures.
A "nightmare" is how Shami Kaur, an adviser and certified financial planner with SK Financial Alliance in Cedar Knolls, N.J., describes dealing with cost basis issues and their tax ramifications.
In the rush of day-to-day activity, financial advisers who are fortunate enough to have business owners as clients sometimes forget where their client's financial hearts are. Hint: not with their investments.
Some 77% of respondents to an InvestmentNews survey plan to reach out to clients in areas affected by wildfires.
Chief executive Eric Schwartz is handing the title of president to chief operations officer Amy Webber.
