Cetera Names Head of Advisor Growth Efforts
Brett Harrison will take on the new job and remain leader of one of Cetera's 11 broker-dealers.
On Social Media, Cut Through the Compliance Clutter and Connect
Hootsuite talks with pros in regulated industries about the challenges standing between their social media presence and forging deeper client connections.
New Hire Roundup: SEC Names Schneider Associate Regional Director for Pacific Northwest
Meanwhile, Advisor Software announced that Erik Jepson has joined as chief customer officer.
9 Reasons Why Economy Stinks, According to Alan Greenspan
The former Fed chief sees a bunch of reasons why the economy won't kick into high gear, and none of them has a simple fix.
Compliance at Financial Services Firms Falls Short
Compliance firm Cipperman finds that firms, especially in the alternatives space, tend not to invest enough in staying compliant.
Customer Demand Drives Banks’ Transformation: KPMG Survey
Nearly a third of banks say wealth management will be a top source of revenue growth in the next few years.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.
Top Trends Driving Hedge Funds: KPMG’s Mirsky
The global hedge fund industry is starting to strut again. One hot trend: liquid alternative '40 Act funds aimed at the 401(k) market.
KPMG to Pay SEC $8.2M to Settle Independent Auditor Violations
KPMG broke auditor independence rules by providing prohibited non-audit services to affiliates of companies whose books they were auditing.
SEC, DOL Enforcement: Big Four Accounting Firms Must Disclose China-Related Records
Meanwhile, DOL wins a $10 million settlement in ESOP case and Massachusetts bars an advisor for fraudulent, unethical activities.