NPH Adopts Social Media Strategy to Help Reps Connect with Clients
NPH Adopts Social Media Strategy to Help Reps Connect with Clients
Jul 27, 2011
National Planning Holdings (NPH), the independent broker/dealer network of Lansing, Mich.-based Jackson National Life Insurance Company, plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter...
Online Brokerages Still Grabbing Market Share From Wirehouses
Online Brokerages Still Grabbing Market Share From Wirehouses
Jul 26, 2011
New research from Aite Group shows that the online brokerages continue to take market share of wealth management assets from the wirehouse firms—something that surprised Aite Group analysts.
Another IBD-Seller of Private Placements Goes Belly Up
Another IBD-Seller of Private Placements Goes Belly Up
Jul 25, 2011
Many IBDs have been going under due to large liabilities they face related to alternative investments that have gone bust, including Medical Capital, Provident and DBSI. Meadowbrook is the latest to join the list of imploding firms. Other IBDs...
Are the new Dodd-Frank regulations good for the insurance business?
Are the new Dodd-Frank regulations good for the insurance business?
Jul 25, 2011
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New Rankings: New York, Houston Shine As Wealth Management Hot Spots
New Rankings: New York, Houston Shine As Wealth Management Hot Spots
Jul 19, 2011
After studying Capgemini’s recently-released 2011 U.S. Metro Wealth Index, wealth management firms who aren’t doing business in the New York or Houston markets may be asking themselves why not.
Schwab Gained Advisor Assets in Q2
Jul 18, 2011
Client assets at Advisor Services hit $697.8 billion, up 17 percent YOY, while net new assets reached $10.6 billion, up 4 percent.
contracts
SIFMA Wants Fiduciary Standard Governed By Client Contracts
Jul 15, 2011
SIFMA sent a letter to the SEC Thursday that recommends a new fiduciary standard that would be more rules-based and that would depend on individual client contracts for its application.
SEC Raises Performance Fee Threshold for Investment Advisers; CFA Backs Off Opposition to SRO
Jul 12, 2011
Under an SEC order issued today, it will require considerably more wealth or assets for an investor to qualify to pay an investment adviser performance fees. The higher thresholds, mandated by Dodd-Frank reform, are meant to take inflation into...
What To Do When You Smell a Storm Coming At Your B/d
Jul 08, 2011
When broker-dealers shut their doors, a lot of people suffer: home office staff, advisors, clients. The good news is, new technology and today’s 24-hour media cycle have put advisors in a much better position to sniff out trouble and to know...
A Cautionary Tale: How One Arbitration Can Topple A Firm
A Cautionary Tale: How One Arbitration Can Topple A Firm
Jul 08, 2011
With small independent broker/dealers blowing up left and right, it’s become that much more important to know what kind of compliance regime your firm has and who your colleagues are.
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