The Clearing Industry’s New Powers
From fighting fraud to revamping recruiting, clearers are more engaged than ever.
New Hire Roundup: FPA Welcomes David Brand Back to the Fold
Also this week, Securities America names a director of practice succession and acquisition and a new member for its recruiting team, while an SEC litigator joins WIlmerHale.
Giachetti: Don’t Listen to the Kool-Aid Compliance Salesmen
If you like your compliance talk spiced up with frankness and salty language, Tom Giachetti of Stark & Stark is your man.
Low Interest Rates Wallop Retirees: EBRI
The low-interest-rate environment “has an extremely large impact on failure rates” when it comes to meeting retirement goals, EBRI's research director says.
New SEC Chairwoman Walter Appoints Two Acting Directors
During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.
Get a Life
“People today don’t want to be sold XYZ product. They want a customized, personalized financial plan for life,” says Mitch Anthony, founder of the Financial Life Planning Institute.
Bad Times, Good Timing
Trust: Clients seek it; you've earned it. But in the post-Madoff era, even established registered investment advisors are tainted by the public skepticism born first...