Practice

As the performance of equities markets pushes employee confidence up, financial advisors need to make sure they still wave the caution sign when it comes to their clients’ goals, according to Bank of America Merrill Lynch.

Regulation should be strong enough to protect investors yet business-minded enough to promote active derivatives, mortgage and other markets, says Judd Gregg, a former New Hampshire lawmaker and new chief executive of the Securities Industry and Financial Markets Association.

Putting your clients and best prospects on a regular call cycle is an idea that is well known and well understood conceptually, however, for most advisors it remains a conceptual idea, not an executed one, according to Bill Cates.

Advisors can decide whether to promote their brand or their firm's brand by answering three questions.

Nomura Securities has begun using a mobile application for asset managers from Nomura Research Institute.

ING U.S. announced last week that the underwriters in its initial public offering have exercised their overallotment option to purchase approximately 9.8 million additional shares of ING U.S. from ING Group at the IPO price of $19.50 per share.

The ICI has a new director of Financial Services Policy.

The network was launched in September to help breakaway brokers transition from the traditional wirehouse model to independence.

So called “value-add” programs and tools from vendors are getting the attention of financial advisors and influencing their behavior, according to a new study, but still leave much to be desired.

How to innovate when you're in a large, matrixed institution? "Hackathons" are part of the answer for Hari Gopalkrishnan, who leads retail mobile app development at Bank of America Merrill Lynch.