Practice

Financial services compliance technology firm RegEd is offering clients a social media library containing pre-approved content, as well as a series of dictionaries, or lexicons, of words or phrases to support compliance.

The TCW Group has appointed Meredith Jackson as General Counsel, effective January 15.

The collective voice of independent financial advisors just got a little bit louder.

Wealthier clients spend more than half their communications time digitally, using email, web portals, social networking, SMS, instant messaging and VOIP calls.

A FINRA arbitration panel has dismissed a claim that Stifel illegitimately poached a number of legacy A.G. Edwards advisors.

You can use a well-organized advisory board to get strategic advice from the people who are your most valuable assets. Here are a few suggestions for running a group.

If referrals play a key role in your marketing plans for the year, here are some key elements that must be addressed.

Alarmed at a set of conditions that could invite sales abuses and eventually a market correction, the Financial Industry Regulatory Authority enters 2013 with a warning to investment advisors that the group plans to keep a close eye on the industry and hold advisors accountable to its new suitability rule.

As the new Head of Personal Retirement, Jeff Cimini will help grow the firm’s Personal Wealth & Retirement division to meet the changing demands of the industry.

Two former wirehouse advisors have gone independent in Baltimore and Bethesda, Maryland.