Cybersecurity Is Advisors’ Hottest Compliance Topic: IAA Survey
"Many advisors still have work to do to develop their cybersecurity programs," says IAA counsel Laura Grossman.
RIAs’ Top Compliance Goal: Social Media Policies
Advisors are honing their social-media savvy, with nearly 83% of firms adopting formal social media policies this year—up from 64% in 2011 and nearly double the 43% of advisors who had such policies in 2010, according to a recently released compliance survey by the Investment Adviser Association, ACA Compliance Group...
RIAs Call Social Media Policies Their Top Compliance Goal
Advisors are honing their social media savvy, with nearly 83% of firms adopting formal social media policies this year, according to a just-released compliance survey.
New Hire Roundup: Carol Yochem Joins TD Wealth
This week in new hires, Carol Yochem joined TD Wealth, and Karen McNeill was appointed head of family history for U.S. Bank’s Ascent Private Capital Management.
Will Your TDFs Stand Up in an Economic Storm?
A white paper from Old Mutual Asset Management offers low-volatility strategies to help mitigate market risk.
Social Media Is Hottest Compliance Topic for RIAs: Survey
Social media use among RIAs has shot up over the past year, with 80% of RIAs stating they have adopted formal written policies on social networking, according to the Investment Management Compliance Testing Survey.
Top Portfolio Products: New Corporate Bond ETF From iShares
Global X launches MLP ETF, and AdvisorShares plans Global Echo sustainable ETF launch in May.
Grow Your Business With Social Media
In my years of experience working with investment advisors, the No. 1 way new clients are acquired has consistently been through referrals.
Top Portfolio Products: BlackRock Launches 3 Funds; New Putnam Fund Seeks Total Return
New products introduced over the last week include three alternative investment funds from BlackRock, a new dynamic allocation fund from Putnam, and two Credit Suisse funds reorganized into Aberdeen funds.
Old Mutual Adds Invesco Portfolio Management Team to Roster of 18 Boutique Firms
Old Mutual Asset Management has agreed to buy Invesco Ltd.'s eight-person international equity portfolio management team led by Hans van den Berg, formerly of Morgan Stanley.