Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
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By James J. GreenSome of you may recall that I wrote several months ago about my personal house hunting and how technology has changed the way that homes are marketed and sold.
June 01, 2015
SEC Hits Merrill for $11 Million Over Faulty Short-Sale OrdersTwo Merrill entities admitted to using inaccurate, old data when executing short-sale orders for customers.
May 30, 2015
Five to Watch: The New School—The 2015 IA 35 for 35By design, the 2015 edition of the IA 25this year, the IA 35 for 35is meant to take the long view, specifically looking at the people who have influenced the industry in its first 35 years.
May 29, 2015
Financial Decision Making Comes From Deep Inside the BrainWhy are some people better investors than others? Why are some investors bigger risk takers than others?
May 29, 2015
Social Media Use Up at Firms, but Texts Raise Compliance Worries: SurveyCompliance officers "have significantly lower confidence" in their ability to produce text messages upon request versus other types of electronic messaging, Smarsh poll finds.
May 29, 2015
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus RulesThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
Banks Will Keep Doing FX Stuff That Got Them in TroubleEvery banking scandal brings tension between up-in-arms regulators and banks, who are like, "What? This? We've done this forever. We thought it was fine."
May 28, 2015
529 Plans: The College Savings Tool Most Families Don’t Know AboutAbout two-thirds of families don't know what a 529 plan is, according to a recent survey. Here's what your clients should know.