Practice

Castle Rock Investment Company has added Kristen Sanchez as Director of Communications. In her new role, Sanchez will gdevelop and implement a strategy to effectively communicate the firmfs ability to help plan sponsors reduce their liability while optimizing their plans,h according to the firm.

FINRA slammed Citi International Financial Services with a $600,000 fine for charging excessive markups and markdowns on corporate and agency bond transactions.

Commissioner Elisse Walter told fund industry executives Monday to re-engage with the Securities and Exchange Commission on a new round of reform of money market mutual funds – and end its “unconstructive disengagement’’ on the subject.

High-net-worth investors who are intently interested in those opportunities should pay particular attention to time horizons and investment styles.

The company with the best retirement plan in New York is Deloitte, according to investment analytics firm BrightScope’s ranking of the top 25 New York City area 401(k) plans.

On April 6, the comment period on FINRA’s proposed changes to its BrokerCheck system will close, though there is still much debate and controversy about some of the proposed changes. Compliance consultant and securities attorney Jennifer Woods Burke shares her thoughts on the subject with Financial Planning.

Marketing expert Marie Swift says keeping your client pipeline full is both an art and a science. Here are some three things advisors should be doing now to prevent a dry spell.

Mutual funds may soon report not just to the Securities and Exchange Commission but the Commodity Futures Trading Commission as well, in some circumstances.

Investment analytics provider BrightScope unveils its second annual rankings list of New York City area companies that have 401(k) plans with more than $100 million in assets.

Investment analytics provider BrightScope today released its second annual rankings list of New York City area companies that have 401(k) plans with more than $100 million in assets.