SAN FRANCISCO — After a year of frantic meetings with ex-clients, Thomas Pignone finally is breathing easier as he rebuilds his firm.
OTTAWA — In Canadian hedge fund circles, it helps to have a thick skin.
Public-service spots starring “Savingsman” and his canine companion "401k-9" won three Emmy awards.
WASHINGTON — U.S. investors could face reduced protections if the Securities and Exchange Commission loosens restrictions to allow foreign brokerage firms to offer securities in the United States, according to some speakers last week at a daylong SEC public meeting on cross-border regulation.
WASHINGTON — Registered investment advisers are likely to outspend other financial intermediaries for compliance software, according to a recent report by Celent LLC, a Boston-based research and consulting firm.
Insurers increasingly are using trail commissions for fixed annuities to give finan-cial advisers an additional incentive to cultivate long-term client relationships.
In a bid to stand out among their peers and to be more competitive in the marketplace, an increasing number of small to midsize independent-contractor broker-dealers are offering sophisticated compensation plans, including stock ownership, to their affiliated registered representatives.
IRVINE, Calif. — A debate is brewing over the establishment of retail-sales-practice guidelines for structured products.
An increasing emphasis on family governance is having a galvanizing effect on the multifamily-office business.
J. Thomas Bradley Jr., president of TD Ameritrade Institutional, is feeling the heat from financial advisers as he tries to balance their concerns and the demands of his parent firm, TD Ameritrade Holding Corp., to continue to increase assets.
