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Gallery: A Global Markets Risk Watchlist

Volatility in Europe, over-zealous regulation in the U.S., deflationary monetary policy in Japan. Schroder’s team reveals the current danger zones in today’s global markets.

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  • May 21, 2013
    blog

    FINRA's Ketchum: Firms Need To Use Plain English

    FINRA's Rick Ketchum tells firms they need to move beyond compliance to win back investor trust. They need to make sure all disclosures, including legal, are written in plain, unequivocal English....More
  • May 21, 2013
    Article
    Reuters

    FINRA Fines LPL Financial $9 Million for Email Violations  

    LPL Financial LLC must pay a total of $9 million for significant email system failures and making misstatements to Wall Street's watchdog, the regulator said on Tuesday....More
  • May 20, 2013
    Article
    REP.

    SEC's Walter Says No Fiduciary Standard Rules This Year

    The former chairman of the SEC said the first round of public comments on the fiduciary rule weren't "data heavy" and the commission is hoping for more information....More
  • May 17, 2013
    Article
    REP.

    Schwab Reverses Ban on Client Class-Action Lawsuits  

    Charles Schwab Corp has temporarily reversed its requirement that clients waive their right to bring class-action lawsuits, adding a new twist in a battle closely watched by the securities industry and plaintiffs' attorneys....More
  • May 16, 2013
    Article
    Reuters

    Dimon Has Big Say Over Who Serves on JPMorgan Board  

    For years, JPMorgan Chase & Co Chairman and CEO Jamie Dimon and other executives have hand-picked new directors, in a practice that is now unusual for a major U.S. bank....More
  • May 15, 2013
    article
    Reuters

    Deutsche Bank Names Head of Wealth in Americas

    Deutsche Bank AG said on Wednesday it has named Jerry Miller to run the German bank's asset and wealth management business in the Americas....More
  • May 15, 2013
    Article
    Reuters

    Four Ways to Avoid Bad Decisions During a Bull Run  

    Is the Dow's movement above 15,000 or the record close of the S&P 500 Index last week a buy signal? They may not mean anything, but most market watchers believe the rise is talismanic....More
  • May 14, 2013
    article
    Reuters

    Baird Adds Adviser Teams from Morgan Stanley, UBS  

    Robert W. Baird & Co said on Tuesday it hired two teams of veteran financial advisers from top Wall Street brokerages Morgan Stanley Wealth Management and UBS Wealth Management Americas to expand Baird's adviser footprint in the United States....More
  • May 14, 2013
    article
    Reuters

    Fidelity Gets SEC Permission to Run Actively Managed ETFs

    Fidelity Investments said on Tuesday it received permission from U.S. regulators to open its own actively managed exchange-traded funds, as the mutual fund firm seeks to catch up in the faster-growing ETF segment....More
  • May 13, 2013
    article
    Reuters

    MOVES- Marsh, BNP Paribas, BDO  

    May 13 (Reuters) - The following financial services industry appointments were announced on Monday. To inform us of other job changes, email to moves@thomsonreuters.com. MARSH & MCLENNAN CO Marsh, the insurance broking and risk-management unit of Marsh & McLennan Co, named Richard Moxon as leader of its UK private client services division. Moxon joined the company in 2009 as senior client manager. BNP PARIBAS...More
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Absolute Perfection

This flawless, 101.7-carat, pear-shaped diamond—one of the world’s largest —will go up for auction at Christie’s “Magnificent Jewels” sale in Geneva on May 15, 2013. How much will it sell for? Choose the correct answer and registered site users will be eligible to win a one-year subscription to Christie's Geneva Jewelry sales catalogue, courtesy of Christie's. 

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Need sales based app for daily Management

Sales called backbone for business. I am sales person in one MNC so i need app to manage my tasks, work details please share with me if you have any app for sales. My friend Linda suggest me about top ipad Sales Assailant App ( Coming soon ) and other another apps. If you have any suggestion please share with me ..     thanks steve...More

Financial Planning: Best information sources and research tools?

I am new in financial planning and am approaching the profession with several years experience working in personal trusts and have just completed a financial planning course. I am considering going out on my own and am trying to get some tips and ideas as to the best ways to stay informed and to provide clients with the best expertise and skill set possible. Does anyone have preferences and/or advice as to the best ways to stay current and in compliance with legal, tax and market changes?...More
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May 21, 2013
Commentary
REP.

Advisors Get Ready to Ride the Social Sharing Wave

Moore’s Law is a mathematical principle devised in the 1960’s that states the number of transistors on integrated circuit boards doubles every 18 months – meaning the processing power grows exponentially. This simple principle has held true for the computer hardware industry over the past fifty years!...More
May 21, 2013
blog

FINRA Won't Drop BrokerCheck Link Rule

Advisors who hate the idea of linking to BrokerCheck on their websites are not out of the woods. Despite pulling its proposal last month, FINRA staff say the proposal is not dead....More

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