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.
What’s All the Fuss About Schapiro?
By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up
Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
Tom Giachetti’s 10 Blunt Compliance Warnings
The federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
Breach of Fiduciary Duty Most Common FINRA Complaint
While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.