In an open letter released Tuesday, the SEC warned chief executives of registered financial services firms to be vigilant when it comes to keeping their compliance programs in order.
The challenge: Creating a workable and measurable plan when you’re not sure how to start or where you’ll find the time to do the necessary work.
A new service from the Depository Trust and Clearing Corp. automates the account setup and maintenance of managed accounts — eliminating an onerous and non-standardized manual process.
A new version of the most comprehensive planning software available from Money Tree Software Ltd. was rolled out with new features this week.
This week, we’re going to find out how a Chicago-area adviser combines wine tasting with an art show held at a local gallery.
EMoney Advisor produces the eMoney 360 and 360Pro wealth- and goal-planning applications used by financial advisers, while Redtail provides a popular web-based client relationship management application intended for advisers.
Agents and advisers are overlooking an opportunity for new life insurance sales: the middle market and minorities, said Catherine H .Smith, chief executive officer of U.S. insurance at ING North America Insurance Corp., in Atlanta.
Once again, it is about the plumbing.
Financial services companies continue to increase their technology spending despite rocky markets and an anemic economy.
UBS Financial and two units of CitiGroup Inc. adopt DTCC's standards-based managed-account system. SEC complees taxonomies for fund prospectuses.
Tough times call for a new way to show client appreciation. Instead of holding an elaborate dinner this year, why not join with clients to give thanks and lend support to a worthy cause?
Seven in 10 financial advisers prefer working for a nationally recognized company over an independent advisory firm, according to a yet-to-be-released survey.
Advisers tell me that broker-dealers are not created equal when it comes to technology support.
National and state securities regulators disagree over the use of encryption in storing and communicating client information.
This week TD Ameritrade Institutional announced Roadmap, an online tool that is available on its Veo adviser platform.
Merrill Lynch & Co. Inc. has been accused of discriminating against African American and female brokers, a claim based on the retention bonus package that was announced to the firm’s brokers last Friday.
<b>Background: </b>Our theme in October has been communicating in this time of crisis. <a href=”http://www.investmentnews.com/apps/pbcs.dll/article?AID=/20081020/REG/810209967/1099/INDAILYOPINION”>Last week</a>, we discussed how an advisory crisis communications team can help you reach out to your best clients.
Amid the failures and mergers on Wall Street, there is at least one silver lining for independent broker-dealers and smaller asset managers.
Charles Schwab has upgraded its online trading system, and TD Ameritrade Institutional is offering advisers preferred pricing for donor-advised funds
