SEC Audits: 6 Items You’d Better Find, Fast
CRMs provide a "rock-solid" corporate memory against examinations and lawsuits, Junxure CEO Greg Friedman says.
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: Study
An author of the study by PIABA, a legal group, says that this a "major investor protection problem."
5 SEC Exam Red Flags: Tom Giachetti
Even your building's cleaning staff can pose a compliance problem, the securities attorney warns.
Jeff and Kim Camarda Talk About Their Suit Against the CFP Board
A conversation with the plaintiffs provides a new perspective on the ongoing "fee-only" issue and raises new questions about the Board’s handling of the case.
Giachetti to Junxure Users: Show, Don’t Tell, SEC Examiners You’re Compliant
The SEC is asking smart questions in exams, the securities lawyer warns, with major changes even since 2011. His advice on how to stay compliant.
Advisors as Servant and Leader, Preventing Wire Fraud and More: August Investment Advisor—Slideshow
Charles Ellis, the best-selling author, consultant and Ivy League professor who founded Greenwich Associates, has some simple advice for advisors who want to grow strong firms that should be obvious but frequently isn’t: Be a good leader and serve your mission well.
Wire Transfer Fraud Threat Is Very Real, Says Tom Giachetti
It's real, dangerous and often overlooked by advisors. Where are regulators and law enforcement officials? “There’s not a whole lot they can do,” he says.
An Argument for Study Groups; 2013 TechLeaders Survey: July Investment Advisor—Slideshow
In the July issue of Investment Advisor, we take on succession planning and study groups.
Succession Planning for an Entire Industry: Why Study Groups Are Critical
“We really feel we have the best consultants in the industry as part of the group,” says Xcelsior study group member Mike Anderson.
Junxure’s Friedman: Use Tech to Ensure Smooth Exams
The speed, ease and accuracy with which the information is retrieved will go a long way in determining the outcome of the exam.