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Best Practices
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FINRA Lists Yield Chasing Concerns, Transparency Among 2012 Priorities
February 1, 2012Authority details its top concerns in a letter directed to the industry’s compliance officers.
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WOMEN ADVISORS FORUM: Why Aren't We There Yet?
June 20, 2011One area where women are being left behind is in corporate America, said Aditi Mohapatra, Senior Sustainability Analyst at Calvert Investment Management, at the Women Advisors Forum in Chicago on Monday.
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FDIC's Bair Would Rather Eliminate QRM From Risk Retention Rule
June 10, 2011With regulators struggling to decide which loans to excuse from risk-retention, Federal Deposit Insurance Corp. Chairman Sheila Bair said Thursday the best option would have been to shelve the exemption altogether.
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Banks Need To Step Up Suspicious Transaction Monitoring: Report
June 2, 2011New study finds banks -- large and small -- need to do a better job of implementing the technology and processes necessary to curtail money laundering activity in order to avoid the stiff fines already levied on their peers.
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Objectivity, Not Independence, Most Important To Investors: Study
May 5, 2011While the entire financial services industry simultaneously bemoans and braces for more oversight and regulation, advisors out in the field have to do a better job of understanding and articulating the difference between independence and objectivity when it comes to dispensing investment advice to existing and prospective clients, according to a new research report released this week by SEI.
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What Are the Top Traits for Financial Planners?
April 4, 2011A survey by First Command, reveals the top 10 attributes consumers seek.
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BISA 2011: Prepare for the Moment, Jensen Says
March 8, 2011A well-prepared professional approaches turbulence and dire conditions that present themselves calmly and confidently, performance consultant Dr. Rick Jensen told attendees of the Bank Investment and Securities Association in the closing keynote Tuesday.
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How Important is Personal Attention When It Comes to Client Retention?
March 2, 2011Middle class Americans who work with planners trust their own planner despite deep distrust of the financial services industry
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Four Tips for Women Helping Aging Parents
March 2, 2011Women are not only becoming more responsible for the finances in their own homes, but they are passing on their knowledge to their own parents.
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