The following is an edited transcript of the round-table discussion.
Competition is heating up in the normally sedate world of portfolio-re-balancing software.
The SEC's proposed changes to Regulation S-P may slow down recruiting of independent reps, but executives with independent broker-dealers nonetheless are relieved that the agency has given some potential guidance on the issue.
Two tax reform issues are likely to collide over the coming months, and the fallout could be painful for high-income taxpayers.
The firm's version 5.2 of its eMoney Advisor 360Pro suite of online financial planning tools will launch this month.
Problems come and problems go, but linking adviser tools so that data entered once can populate several software programs — that's a problem that seems eternal.
Republicans plan to introduce a bill that would make compliance with some provisions of Sarbanes-Oxley voluntary for banks.
Federal Deposit Insurance Corporation chairperson Sheila Bair said most financial institutions remain well capitalized.
Dan Skiles, vice president of Technology for Schwab Institutional, discussed the many issues his team has confronted.
Changes to defined benefit plans will slow considerably this year, with 72% of plans surveyed by Hewitt Associates saying they would not likely make any changes to their plans this year, compared to 41% in last year’s survey.
One of the keys to success in any endeavor is learning from experience.
Wall Street has become an industry of metrics
Competition is heating up in the normally sedate world of portfolio re-balancing software.
Several wirehouse firms have begun pushing their financial advisers to talk to clients in more depth about health care issues in retirement, but at least one firm, UBS Financial Services Inc., is avoiding the topic because of liability concerns.
The Labor Department will soon release guidelines detailing how advisers may give direct counsel to clients about IRAs.
Citadel Solutions starting Operational Alpha, the first fully integrated hedge fund trading platform for users of Bloomberg’s AIM institutional order management system.
A record 516 new plans were funded in 2007, with total plans serviced growing to 2,825, a 15% increase from 2006.
Many executives said their risk assessment systems had no common control library or were not sure if one existed.
