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PRACTICE MANAGEMENT JAN 19, 2010
RBC snags $340M duo from Smith Barney

RBC Wealth Management has added two senior financial advisers from Smith Barney with $340 million in client assets as the regional brokerage firm continues to recruit brokers a rapid clip.

PRACTICE MANAGEMENT JAN 18, 2010
Advisers warn clients to watch out for Haiti scams

Advisers are warning their clients to donate only to well-known organizations if they want to help victims of the Haiti earthquake.

OPINION JAN 18, 2010
Plan your 2010 communications launch

As December winds down, now is the time to reflect on the last year and determine what, if anything, you would have done differently in your practice or even in your personal life

PRACTICE MANAGEMENT JAN 17, 2010
Hiring on the cheap will cost you later

Wanted: adviser's assistant. Must have a bachelor's degree, a “nurturing gene” and the ability to speak Farsi.

FINTECH JAN 15, 2010
New versions of Profiles software available from EISI

New versions of Profiles Professional and Profiles Forecaster are available from Emerging Information Systems Inc.

FINTECH JAN 15, 2010
Scalability is the name of the game for report generation platform

Most financial advisers with whom I speak say that they look forward to generating quarterly reports and client presentations about as much as they do to an SEC audit.

FINTECH JAN 15, 2010
Due diligence pays off when it comes to buying software

Advisers should always kick the tires and look under the hood of any software they buy for their practice.

FINTECH JAN 15, 2010
Advisers opting for outsourced portfolio reporting

Sheila M. Chesney likes it when clients look at reports detailing how their portfolios have performed, and tell her that they really understand what they are looking at.

PRACTICE MANAGEMENT JAN 14, 2010
Coming soon: Broader definition of fiduciary under ERISA

The Labor Department is planning to expand its definition of fiduciary under ERISA — a move that would have implications for all financial advisers that work on retirement plans.

FINTECH JAN 13, 2010
Tamarac Advisor 9: First look <a href= http://www.investmentnews.com/apps/pbcs.dll/article?AID=/20100110/REG/301109968/1082>(To read the full story on Advisor 9, click here)</a>

PRACTICE MANAGEMENT JAN 12, 2010
Ask the expert: How do I get my clients off the sidelines?

<b>Q: I've had some frustrating conversations with clients recently&#8212;trying to get them back in the market. Very few are taking my advice, even though they seem to know that staying on the sidelines is a mistake. What's going on, and how can I get them &#8220;unstuck&#8221;? </b>

PRACTICE MANAGEMENT JAN 12, 2010
Fantasy football at work? Managers must set ground rules

OPINION JAN 12, 2010
Reviewing 2009 and setting specific goals for 2010

This week, we will be covering two critical areas for reaching your goals for 2010 and beyond. The first is retaining your top clients. The second critical area is to start outlining your business plan for 2010

PRACTICE MANAGEMENT JAN 11, 2010
Next hot job? Compliance officer at financial firm

People who knew how to make a quick buck held some of the fastest-growing jobs two years ago. Now, the growth industry is in helping financial firms figure out how to follow the rules.

PRACTICE MANAGEMENT JAN 10, 2010
The chance to play quarterback

FINTECH JAN 10, 2010
Tamarac takes a leap by offering a single solution

PRACTICE MANAGEMENT JAN 08, 2010
Finra investigating Wells Fargo for possible Reg S-P violations

Finra is investigating Wells Fargo Advisors LLC to determine whether the firm of 16,000 advisers violated rules that protect private client information.

PRACTICE MANAGEMENT JAN 08, 2010
More advisers adopting 'clean desk policy' to limit compliance worries

Adviser Mark Penske requires all of his employees to clean off their desks &#8212; including clearing all paperwork &#8212; before leaving the office each day.

PRACTICE MANAGEMENT JAN 08, 2010
SEC expands probe of BofA, Merrill deal

The Securities and Exchange Commission has expanded its probe of Bank of America to include possible failure by the bank to disclose mounting losses at Merrill Lynch.

FINTECH JAN 07, 2010
Finally, hope for advisers who want to tweet – but not delete

Many advisers feel stymied when it comes to adopting social media. But for independent registered investment advisers whose main hurdle has been lack of a low-cost archiving, help is on its way.