Advisers tell me that broker-dealers are not created equal when it comes to technology support.
National and state securities regulators disagree over the use of encryption in storing and communicating client information.
This week TD Ameritrade Institutional announced Roadmap, an online tool that is available on its Veo adviser platform.
Merrill Lynch & Co. Inc. has been accused of discriminating against African American and female brokers, a claim based on the retention bonus package that was announced to the firm’s brokers last Friday.
<b>Background: </b>Our theme in October has been communicating in this time of crisis. <a href=”http://www.investmentnews.com/apps/pbcs.dll/article?AID=/20081020/REG/810209967/1099/INDAILYOPINION”>Last week</a>, we discussed how an advisory crisis communications team can help you reach out to your best clients.
Amid the failures and mergers on Wall Street, there is at least one silver lining for independent broker-dealers and smaller asset managers.
Charles Schwab has upgraded its online trading system, and TD Ameritrade Institutional is offering advisers preferred pricing for donor-advised funds
Independent financial planners are poised to “own” the personal finance market, but that is partly contingent on advisers getting up to speed and becoming more comfortable with the Internet and blogging technology.
In this third installment of October’s “Communicating in a time of crisis,” consider a conference call using resources provided by product companies.
Amid the failures and mergers on Wall Street, there is at least one silver lining for independent broker dealers and smaller asset managers.
Advisers were denied access to the San Francisco-based Schwab Institutional website, which allows them to input client orders and check accounts and transaction histories, for about one hour, Schwab spokeswoman Alison Wertheim said.
Why download music when you could instead be listening to a market outlook forecast from MFS Investment Management?
A crisis communication team is a group you can call on for valuable input on what to say to clients
About 300 financial advisers packed the meeting room for the Financial Planning Software Show-down during the Financial Planning Association's national conference in Boston last week.
In the wake of a negative report on the Securities and Exchange Commission's oversight of brokerage firms, the brokerage industry is bracing for tougher regulation.
From a technology standpoint, brokers at Bank of America Corp. are sitting pretty.
New software examines patterns and modeling activities across a broker-dealer’s book of business.
One of the biggest opportunities during a market downturn like the one we’re experiencing now is having a crisis communication plan in place and executing it.
The Financial Planning Association's Diversity Task Force has created a scholarship program to help increase involvement among groups that are underrepresented in the financial industry.
