Advisors Take Note: Compliance Officers Are Watching
By Bernice NapachYet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.
November 16, 2015
10 ways RIAs can recruit and retain top talentaRIA paper finds RIA owners seriously delinquent in planning their firms future.
November 16, 2015
AR Capital to Stop New Issues, Cetera Suspends Related Product SalesAtmosphere at Schorsch-founded entities continues to deteriorate days after regulators announced a fraud investigation of RCS Capital.
November 16, 2015
Wisdom Tree, AlphaClone and SPARX Group Add Foreign-Focused ETFsDo you know the difference between a global ETF and an international ETF? Hint: One includes U.S. assets.
November 13, 2015
10 Ways RIAs Can Recruit and Retain Top TalentThe consequences for a firm that fails to nurture its human capital can include heavy employee turnover and a slide into irrelevance, aRIA warns.
November 13, 2015
Slim Chance to Stop DOL Fiduciary Rule, but Brokers Must Keep Fighting: Rep. MulvaneyMulvaney told Commonwealth reps to tell senators that we will no longer be able to serve middle-class people who need us the most.
November 13, 2015
9 Negative Phrases to Avoid With Clients (and What to Say Instead)Check yourself before you wreck yourself. Always, always practice what you're going to say before calling a new prospect.
November 13, 2015
FINRA Enforcement: 3 Firms Fined for Failures in Research DisclosureIn one instance, a member of the firms sales force was provided the entire draft of a research report prior to publication.