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When clients and advisers become friends
While practice management experts said advisers must maintain a fine line between finances and personal issues, it's not uncommon for advisers to forge close friendships with their clients.
Compliance products exec sitting pretty with Clinton/Bush debate chairs
Ken Kaltman, chief operating officer at National Compliance Services, Inc. in Delray Beach, Fla., will soon have a lasting memento of his $15,000 donation to the Clinton Bush Haiti Fund. He'll be the proud owner of the wingback chairs that both former presidents actually sat in for their “debate” at the TD Ameritrade conference earlier this month.
Recovery spells extra credits for advisers needing training
Reflecting the rebounding economy, financial advisers are attending more conferences and taking more courses for continuing-education credits.
Fiduciary setback: Your greatest marketing opportunity ever?
The failure of Congress to strip the fiduciary exemption from broker-dealers may turn out to to be the greatest marketing opportunity ever for financial advisers
Advisers on the advisory biz: Full speed ahead this year
Following the tumult of 2009, advisers see better days ahead for their practices this year--with the majority of advisers now focused on growing their businesses again.
Defining platinum-level services
You too can set your practice apart from the competition by identifying and promoting your platinum services.
The estate tax crisis must be confronted
The failure of Congress to plug the 2010 estate tax loophole has created considerable uncertainty.
Estate tax expiration gives rise to opportunities — and heart-wrenching decisions
With the estate tax laws set to expire by year-end — and no clear indication when Congress will address the issue — some financial advisers and attorneys see an opportunity for their high-net-worth clients in this extremely muddled situation.
Finra: We’ll lower the boom on shady private placements
Finra expects to bring cases against brokerage firms involved in selling private placement offerings next year, its head of enforcement said today.
Credit Suisse to pay $536M to settle Iran wire transfer case
Credit Suisse Group has agreed to pay $536 million to settle a Justice Department probe and admit to violating U.S. economic sanctions by hiding the booming illegal business it was doing for Iranian banks.
Advisers adopt "clean-desk policy’ to limit compliance concerns
Adviser Mark Penske requires all his employees to clean their desks — including clearing all paperwork — before…
When leaving a firm, don’t slam the door
When Charles Miller decided to leave the financial advisory profession to head an international non-profit heart foundation, he spent six weeks convincing his clients to stay with his former advisory firm.
Finra fines Calif. broker-dealer $750K over sale of Reg D offerings
Living up to its recent promise to strengthen its oversight of Regulation D offerings, Finra today took a…
Fantasy football at work? Managers must set ground rules
Fidelity's recent decision to fire four employees for playing fantasy football on the job highlights an issue — Internet usage at work — that advisers are paying closer attention to these days.
What’s in a financial advisory firm’s name?
Paul Baumbach had pet mallard ducks as a kid, so when it came time to name his own financial services firm, he dubbed it Mallard Advisors LLC.
SEC names di Florio head of compliance
A partner in big accounting firm PricewaterhouseCoopers has been named to head a key division of the Securities and Exchange Commission blamed for contributing to the breakdown that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years.
New SEC rule prompts advisers to rethink acting as trustees
Investment advisory firms that act as trustees and have some form of asset custody are weighing whether to continue offering the services in light of new SEC rules that include mandated surprise audits and go into effect March 12.
