Updated Friday, April 25, 2014 as of 12:17 AM ET
More in Clearinghouses/ Custodians
In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief. more »
Only 42% of couples who have advisors work with them jointly, according to a new Fidelity study. Here's one way to fix the problem. more »
JPMorgan Chase and Goldman Sachs Group, the world’s biggest trading firms, had their revised capital plans for 2013 cleared by the Federal Reserve on Monday, a month before next year’s submissions are required. more »
The firms have been sanctioned by the SEC for violating the custody rule that requires them to meet certain standards when maintaining custody of their clients’ funds or securities. more »
If you are a bank program manager looking to recruit financial advisors then you already know that this is no easy task. Here are four tips to help with recruiting. more »
Fewer RIAs this year are in the mood to sell thanks to stable growth in the markets. more »
The company announced Thursday that Schwab Investment Management would be introducing six new ETFs, weighted by fundamental factors instead of by traditional market capitalization. more »
Washington Wealth Management is continuing its rapid growth -- albeit at a slighter slower pace than its own CEO had forecast. more »
From comedians to industry insiders, find out who Pershing's Mark Tibergien follows on Twitter and how advisors can take advantage of the platform. more »
Advisors must be vigilant about protecting clients from the risk of wire fraud. Pershing's Mark Tibergien offers tips on how advisors can protect clients and themselves from this increasingly common threat. more »
Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility. more »
Strong performance in the firm’s wealth management segment was a bright spot on third quarter earnings. more »
Bank of New York Mellon Corp., the world’s largest custody bank, reported a first-quarter loss after the U.S. Tax Court disallowed certain tax credits. more »
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