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Cybersecurity hottest topic in compliance, survey finds
FINTECH SEP 24, 2014
Cybersecurity hottest topic in compliance, survey finds

Cybersecurity is the hottest topic in compliance, according to a survey of compliance professionals. Other areas of interest include social media, valuation and allocation of fees and expenses

PRACTICE MANAGEMENT SEP 24, 2014
Variety of networks key to success for women in advisory business

Female leaders discuss how strong professional and personal connections have helped them get ahead.

ALTERNATIVES SEP 23, 2014
Accredited-investor definition revamp backed by SEC panel

Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.

FINTECH SEP 23, 2014
Data tool could help big firms take the guesswork out of target marketing

Aviso Insights' launch helps managers identify weak spots early and make course corrections.

RIAS SEP 23, 2014
Market risk is ignored by invincible investors

<i>Breakfast with Benjamin</i>: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.

RIAS SEP 23, 2014
5 ways to improve your tech evaluation process

Selecting the right technology means identifying efficiency creators and picking the necessary over the unnecessary.

PRACTICE MANAGEMENT SEP 23, 2014
Accredited investor standard up for review

Advisers and others in investment industry disagree about how or whether the accredited investor standard should be changed

PRACTICE MANAGEMENT SEP 22, 2014
Altered docs land former Wells compliance officer in hot water

Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. <b><i>Plus, see <a href=&quot;http://www.investmentnews.com/gallery/20140507/FREE/507009999/PH/5-big-compliance-lessons-from-recent-sec-cases&quot; target=&quot;_blank&quot;>5 compliance lessons from recent SEC cases</a></b></i>

PRACTICE MANAGEMENT SEP 22, 2014
Barclays to pay $15M over compliance failures

Firm settles charges that compliance oversight was weak after 2008 acquisition of advisory unit.

PRACTICE MANAGEMENT SEP 22, 2014
Mediating disputes between spouses part of advisers' job

Advisers increasingly find themselves playing domestic diplomat in an effort to keep financial plans on course.

PRACTICE MANAGEMENT SEP 22, 2014
Philanthropic advisers recognized for service

Five advisers win Community Leadership Awards at eighth annual industry gathering Thursday night.

PRACTICE MANAGEMENT SEP 22, 2014
Ex-UBS adviser faces $5 million sexual harassment suit

Former intern claims she was offered Christian Louboutin shoes in exchange for sex; adviser and firm say she welcomed advances.

PRACTICE MANAGEMENT SEP 21, 2014
Bridging the adviser generation gap to make succession planning work

Five ways to ensure successful business transitions between advisers old and young

PRACTICE MANAGEMENT SEP 21, 2014
Revenue deflated in recent years, FPA says it's now on a growth trajectory

Association is promoting more stringent standards for brokers, promises to do more with less.

PRACTICE MANAGEMENT SEP 21, 2014
Goodbye Cleavers, hello modern family

New family structures mean new opportunities for advisers to serve client needs.

FINTECH SEP 21, 2014
Ways to get uninterrupted time through technology

Many of us fall into the trap of jumping on each communication as if waiting an hour could result in the loss of the client.

BROKER DEALERS SEP 19, 2014
Regional broker-dealers need creativity to keep up in the recruiting arms race

With deep pockets aggressively recruiting assets tied to teams, advisers need to remember why they are paid bonuses in the first place.

PRACTICE MANAGEMENT SEP 19, 2014
Brokers charged by state securities officials see prison time rise

Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.

PRACTICE MANAGEMENT SEP 19, 2014
State regulators on one-year deadline to revise broker-fee disclosures

NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.

BROKER DEALERS SEP 19, 2014
Possible fee refunds for poor performance spur debate