Blogs

Dec 11, 2014

Former SEC Chair Harvey Pitt Endorses Third Party Examiners for RIAs

Every single investment advisory firm registered with the Securities and Exchange Commission should be examined every year, said Harvey Pitt, the former SEC commissioner, and the SEC should certify outside auditors to conduct the exams....More
Jun 04, 2014

How Can I Build a Community With My Clients?

By creating a tigh knit community of your clients and your centers of influence, you have the ability to retain assets, increase referrals and generate new business. Find out how!....More
Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June 2011: Towers Watson study revealed the following top three items on plan sponsors’ minds for the next two years: 1.Regulatory compliance; 2.Investment volatility; and 3.Vendor service....More
Jun 11, 2012

Career Risk

It's smart to know your limits. Sometimes "No" is the best answer....More
Oct 03, 2014

RIAs “Passing” on Diversity

Most RIAs either have no knowledge about their firms' diversity programs or say that their programs are satisfactory, according to a recent survey by Schwab Advisor Services....More
Apr 28, 2014

FINRA Hits The Rep While He is Down

FINRA, by its new rule, is again hurting the broker....More
Jan 18, 2014

Top Insider Trades 1/17/14: MVC, SYRG, RHP, ACSF

Which stocks are getting attention from insiders?....More
Nov 24, 2014

Charitable Gifts: Date of Delivery Rules

A charitable gift is considered made on the "date of delivery." Conrad Teitell explains that term, which is more complicated than it seems....More
Dec 16, 2014

Busted: Alts Manager Taken Away in Handcuffs

Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud....More
Dec 19, 2014

The Daily Brief: Lawsuit: Schorsch Accused of Cooking ARCP's Books

Lisa McAlister, ARCP's former chief accounting officer, has filed a $50 million lawsuit in New York State accusing former ACRP Chairman Nicholas Schorsch of ordering her to manipulate quarterly financial results....More
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