Practice management

Citi Private Bank has hired Robert “Todd” Martin from Wells Fargo to serve as managing director and ultra high net worth private banker in Houston.

Advisory firms should be aware of changes coming to all Facebook’s brand pages on March 30. New functionality should make the pages even more engaging.

The SEC's Office of Compliance Inspections and its Division of Enforcement are getting 'increasingly collaborative.' That may be turning routine exams into launchpads for enforcement actions.

Some seniors paid extra for riders that no longer applied because of their age, FINRA says.

The findings provide several opportunities for planners to build trust in their business models. Hint: Find an academic to support points you’re trying to get across to clients.

Third-party administrator CPI Qualified Plan Consultants, Inc. has added the Alta Trust Tactical Advantage collective investment trust funds to its retirement plan platform.

Progressive companies say benefits help retain employees, increase employee productivity, and help attract talent, according to survey results.

Researchers have developed a model that uses data from Twitter to help predict the volume and value of a stock in an upcoming trading session.

Financial services firms, advisors and brokers can get themselves caught in their own tracks on social media, worrying excessively about SEC rules on disclosures, marketing and communication, but Rajib Chanda, a partner with the Boston-based Ropes & Gray regulatory law firm, says the guidance out there is actually “pretty flexible.”

Advisors may still feel a bit awkward as well as worried about compliance when they use social media, but they’re definitely using it to build their brands and businesses, according to a new SourceMedia study.

A former Morgan Keegan registered rep agreed to be barred permanently from the industry for putting 10 of his middle-class clients into “unsuitable” investments –- highly leveraged ETFs, regulators said.

Because of its increasing complexity and impacts on financial firms beyond banks, firms that run registered investment funds are suggesting that the Volcker Rule gets ‘re-proposed’ before it goes into effect in July.

State Street Corporation unveiled the State Street Fund Insights Valuation Toolkit to provide timely industry insights for fund managers and directors and help them better manage data.

The operator of the Frankfurt Exchange, Eurex derivatives market and Clearstream clearinghouse plans the suit in order to recoup some of its merger costs and to clear the way to potentially make a future deal in which it could expand its derivatives operation.

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.

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.