There are plenty of perks associated with climbing the corporate ladder more money, a corner office with a view, a bigger expense account, to name a few. But one benefit, company stock, can also be a burden. When executives have the majority of...
Borderline, feel like I'm going to lose my mind, Madonna sang in one of her earlier hits, and many brokers share her mental anguish perhaps none more acutely than those who deal with clients who live across that border. Maintaining a foreign...
The commotion surrounding the salacious e-mails of the equities-research scandal is starting to subside, but that doesn't mean it's safe to forget about them altogether. In fact, at least one important implication went largely unremarked upon and...
The rapid growth in separately managed accounts has given firms little time to organize their offerings in a coherent way. However, that is starting to change, according to Cerulli Associates, a Boston-based research company. Many firms recognize...
The volume of new regulations targeting the securities industry has left reps feeling a bit picked upon particularly independents, who have no real organized way to have their voice heard in the legislative process. The Financial Planning...
Given a choice between tweaking a money market investment strategy and playing Scrabble with a compliance officer, a surprising number of advisors would choose the board game. Money market funds are that dull, that uninviting. This doesn't need to...
The front lines of the war on terror, it turns out, are the cramped offices of compliance officers across the country. The USA Patriot Act has made this so, mainly through its much-debated Section 326, which essentially pumps up traditional know...
If predicting the future is hard, choosing a money manager who will outperform the market and his peers is doubly so. For proof of this fact, look no further than Morningstar's rating system: Five-star funds as a group do not outperform going...
