Our story last week on best practices when dealing with elderly investors (IA Watch, Aug. 16, 2010) just so happened to coincide with the SEC's ...
Rhonda Breard filled the airwaves around Seattle with ads selling her financial advisory services using a line taken from the Beach Boys' song Help Me ...
People take in information differently in today's culture so it may be best to communicate your firm's compliance policies and procedures through the use of ...
You may have been waiting for this for two years, since the economic debacle of 2008: a job market that embraces CCOs like the arrival ...
The Commission announced Tuesday that its head of the Division of Investment Management, Andrew “Buddy” Donohue, will leave the agency this fall after serving four ...
You might want to give your clients a heads-up about the top investor "traps" that were listed by the North American Securities Administrators Association. Here's ...
You hear more reports of firms turning to e-mail encryption, perhaps spurred on by that new Massachusetts regulation or simply as a means of offering ...
It's perhaps a firm's greatest examination fear: a surprise visit. Unannounced exams are rare. The newest SECdocument request letter you'll find at iawatch.com comes from ...
Say one client needs to sell some shares and your portfolio manager crosses the trade with another client. How can you be sure that the ...
Firms with longstanding clients can witness all of the stages of life, including aging clients who begin to decline physically and mentally. Our fast-growing elderly ...