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.
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.
3 Critical Steps to Prevent Client Lawsuits: FSI OneVoice
A strong case can be made for including a well-organized and thorough IPS at the outset of every client relationship.
Market Blitz With David Blitzer; Growth by Design Study; 2013 Career Guide: January Investment Advisor—Slideshow
The new year typically gets people looking ahead at things to come. Considering the things David Blitzer, chairman of the index committee at S&P Dow Jones Indices, sees coming, we couldn’t wait to share them.
Tom Giachetti's 10 Blunt Compliance Warnings
Tom Giachetti doesn’t mince words.