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FINTECH JUN 28, 2009
For family offices, tech fixes are never easy

Complain as they do about technology, financial advisers don't realize how good they have it compared with managers of family offices.

PRACTICE MANAGEMENT JUN 24, 2009
Insurers, banks criticize Obama's proposed consumer watchdog agency

Life insurers and banks bashed the administration’s proposal for a Consumer Financial Protection Agency today at a House Financial Services Committee hearing.

WOMEN ADVISOR COMMUNITY JUN 21, 2009
Do you 'get' female investors?

For all the talk of advisers recognizing the importance of female investors, it still seems there's a way to go.

PRACTICE MANAGEMENT JUN 21, 2009
Seeking new clients

Many financial advisers think that the best way to rebuild their businesses after the economic downturn is to find new clients.

PRACTICE MANAGEMENT JUN 21, 2009
Widows' needs being ignored by advisers

The nearly 800,000 women who become widows each year share something beyond loss.

FINTECH JUN 19, 2009
TraderPlanet.com undergoes redesign

TraderPlanet.com has redesigned its website to improve ease of use and navigation for users who want to keep their trading skills sharp.

FINTECH JUN 19, 2009
Advisor Products integrates, AdviceAmerica updates software

Advisor Products connects to Redtail’s customer relationship management system, AdviceAmerica Inc. has released its latest version of its financial planning product.

FINTECH JUN 19, 2009
ExpertPlan buys service center from ADP

ExpertPlan Inc., a private-label provider of retirement plan record-keeping services, has purchased a portion of Automatic Data Processing Inc.’s retirement services record-keeping business.

PRACTICE MANAGEMENT JUN 14, 2009
Steps to take to become a rainmaker

If you are serious about attracting affluent clients to your practice, keep reading.

PRACTICE MANAGEMENT JUN 14, 2009
The Harry Truman way to success

President Harry S. Truman, known for his plain speaking, could teach a thing or two to today's financial advisers.

PRACTICE MANAGEMENT JUN 14, 2009
Brokerage firm recruitment deals are holding steady for top reps

Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers.

ALTERNATIVES JUN 14, 2009
Arbitration settlement lands in insurer's lap

A sprawling case of alleged securities fraud involving an independent broker-dealer and two brokers may wind up costing an insurance company $10.3 million.

PRACTICE MANAGEMENT JUN 14, 2009
Summer interns find few advisory jobs

In an effort to cut costs and save time, many advisory firms are deciding to forgo hiring summer interns this year.

LIFE INSURANCE AND ANNUITIES JUN 14, 2009
Changing regulations mean EIA compliance challenges

As new annuity rules continue to develop, chief compliance officers at broker-dealers say that they still face some challenges in implementing compliance procedures with their financial advisers.

PRACTICE MANAGEMENT JUN 14, 2009
Ex-NAPFA exec allegedly took $1.24M in kickbacks

Advisers who are members of NAPFA had a range of thoughts and reactions to the news that the SEC last month charged a past president of the organization with taking kickbacks related to unregistered investment pools his firm managed.

PRACTICE MANAGEMENT JUN 14, 2009
Firms in niche segments seek wider client base

Add target marketing to the list of advisory firm best practices being rethought in light of the recession and market slump.

FINTECH JUN 12, 2009
Laserfiche unveils new process management software

Laserfiche this week rolled out its Avante software solution that combines <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080219/REG/685102440/1102/INTechnologyNews03&amp;ht=&quot;" target="&#8221;_blank&#8221;" rel="noopener noreferrer">document management</a> with work-flow automation tools, and e-mail archiving.

PRACTICE MANAGEMENT JUN 08, 2009
Deliver high-impact summer events cost-effectively

Staying connected with your clients is so important and events are one easy way to do this. If planned correctly, they can become a main source for referrals to top clients&#8217; family and friends.

PRACTICE MANAGEMENT JUN 07, 2009
New technology can't do the work for you

Finra may have given broker-dealers and registered representatives a reprieve of sorts last year as the amount in fines and enforcement actions it levied against firms plummeted.

RETIREMENT PLANNING JUN 07, 2009
Fear's a factor as General Motors files for bankruptcy

Financial advisers who cater to workers in the automotive industry are scrambling to prepare their clients for the onslaught of job losses that will follow General Motors Corp.'s filing for bankruptcy protection last week.