New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
Crowdfunding Site Guidelines for Charitable Fundraisers
At the SXSW Interactive festival in Austin, Texas, two major crowdfunding players proposed best practices for sites raising money for nonprofits.
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.
OppenheimerFunds Names Picciotto CCO
Mark Vandehey, Oppenheimer’s current CCO, plans to retire after a transition period with Picciotto.
What HNWs Demand of Advisors: Stay Connected, Stay Mobile
High-net-worth clients are driving a “revolution of digital commerce and direct distribution” in wealth management, PricewaterhouseCoopers says.
Women’s Work: Women’s Role in the Industry
The future of the financial services industry, as it seeks to better itself in an ever-changing regulatory landscape, could hinge on a resource that is already present but largely ignored: women.
New Hire Roundup: Gamble Named Managing Director at F-Squared
This week in new hires, F-Squared Investments named Paul Gamble managing director, and Sean Curry and Kimberly Palleon moved up at BMO Global Asset Management.
New Hire Roundup: Marcus Goes to Genworth
This week in new hires, Joel Marcus joined Genworth Wealth Management and Direxion brought in Patrick Rudnick as CFO.
SEC Exam Chief Di Florio Jumps to FINRA Post
In a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
Successful Wealth Transfer Demands Strong Relationship Management
Beyond the obvious financial connection between advisors and their clients is the often-overlooked personal connection.