To Succeed, Get Your Service Mix Right, Advisor
In building an investment advisory business, providing the right mix of services, and focusing on how they are delivered, is critical for practice success.
Custodians Offer More Trust Services to BDs and RIAs
Enhancements from National Advisors, Pershing and Genworth all highlight a new custodian trend: helping advisors retain trust assets with powerful custody platforms.
Clinton, Other Speakers Headline Insite
Insite 2012, Pershing’s 14th-annual conference, attracted more than 2,000 attendees, many of whom are broker-dealer home office personnel and BD reps who work through Pershing’s clearing business and use its technology.
CEO Shea Looks to Broaden Pershing’s Global View
Pershing CEO Brian Shea points out benefits of a company that can “execute, clear and report in 65 countries.”
Week’s Top Portfolio Products: Altegris’ New RIA Shares; State Street’s Actively Managed ETFs
iShares creates new suite of corporate-bond ETFs; new ETF out from Market Vectors.
JPMorgan Cracks Top 10 as Fund Manager, Thanks to Advisors
A sea change may be occurring in the $12 trillion asset management space, as JPMorgan Chase in February became the first bank to crack the top 10 list of the largest U.S. stock and bond funds.
Advisors’ Priority List—How They Get It All Done
Rydex|SGI AdvisorBenchmaking's latest report shows the many demands on advisors’ time and how they manage it as well as the mix of services they offer.
Risk-Based Oversight of Investment Advisors
Even if the SEC had a larger budget and more resources, it is doubtful that the Commission would have the resources to regularly examine all RIAs. Therefore, the SEC is likely to continue relying on risk-based oversight to fulfill its mission of protecting investors.
A compilation of nearly one hundred terms, phrases, and important laws critical to the understanding of investment advisor regulation and compliance.
Regulatory Oversight of Investment Advisors
Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.