TD Ameritrade Institutional Names Dorsey Head of Sales
Peter Dorsey replaces now TDAI-PresidentTom Nally as managing director of institutional sales.
Top Compliance Concerns From RCA: Pay-to-Play, Form PF, Social Media
Fresh off starting their new positions at Regulatory Compliance Associates, Craig Moreshead and Lori Weston have zeroed in on three issues that should be on advisors’ radar screens.
Tech Execs Look to the Future: TD Ameritrade Conference
A gathering of executives from up-and-coming, as well as established, technology companies sat with AdvisorOne at the TD Ameritrade conference in Orlando Friday morning for a discussion of the state of advisor technology, integration, and where innovation is likely headed next.
Fidelity Hires Away Trust Co. Senior Sales Exec Oros
In a surprise move on Friday, clearing and custodial firm Trust Company of America announced that vice president of national sales Bob Oros is leaving to become EVP of RIA sales and relationship management at Fidelity Investments.
Pershing Releases Advisor Business, Succession Planning Guidebook
Practical guide from Pershing Advisor Solutions provides workbooks for, and case studies illustrating, successful advisor business and succession planning solutions.
The Few and the Proud: Chief Compliance Officers
CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations. When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.
Differences Between State and SEC Regulation of Investment Advisors
States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm. States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.
How to Avoid Sabotaging Your Compliance Exam
There is much more to compliance examination survival than knowing all of the rules. It helps to understand why the rules were put in placeand to recognize that examiners are not the enemy.
RBC Wealth CEO Taft on Advisor Growth, Regulation
John Taft heads RBC Wealth Management in the United States and recently stepped down as chairman of SIFMA, the financial-services lobbying group. Based in Minneapolis, he has worked in the industry since 1981 and recently spoke with Research about challenges confronting both the industry and the firm he leads.
RBC Wealth CEO John Taft on Advisor Growth, Regulation: Weekend Interview
The firm has encouraged advisors with low levels of fees and commissions to depart as it aims for each rep to become a $1 million producer.