Articles tagged "National Compliance Services"
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Purchase of RIA in a Box with reclaimed Barnaby Grist as overseer shows ambition of New York buyer to create compliance 'robo-advisor'
Fresh off big AssetMark score, Aquiline's money talks, saying RIAs must spend big to comply but would like to spend smaller
June 1, 2018 at 3:01 PM
LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest
Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines
January 26, 2016 at 4:11 PM
As RIA compliance complexity explodes, two big outsourcers merge to keep pace
National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand
November 3, 2015 at 8:52 PM
What marketing truths emerged from the exhibit booths at TD Ameritrade's LINC event in San Diego
Flow, buzz and frenzy were constrained by the multi-floor set-up but new players in the RIA space celebrated the event and its value proposition
February 4, 2015 at 4:41 AM
How BrightScope plans to publicize RIA advisory fees fairly amid all those onion layers
One competitor is convinced the Alfreds are merely rewarding fee obfuscation but the San Diego iconoclasts refuse to be discouraged
April 12, 2013 at 5:11 AM
Why a $750 million LPL hybrid is selling its annuities expertise by eyeballing client contracts for RIAs
VAs aren't all bad, according to one New Jersey RIA -- in fact, some yellowing agreements are well worth a second look and could be worth keeping
March 26, 2013 at 3:23 AM
NerdWallet's lead generation website has 20 Bay area advisors in beta, MIT, Wharton, Brown and Stanford folks running things and a Silicon Valley confidence
For Ask a Financial Advisor, the medium is the (video) message and the specializations include Lutherans
March 5, 2013 at 6:12 PM
SEC may tackle RIAs claiming to have 'skin in the game'
Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
December 28, 2012 at 2:30 AM
Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
December 7, 2012 at 5:01 AM
RIAs must prepare for post-disaster recovery or regulators will lower the boom
Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients
October 29, 2012 at 3:22 PM
With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners
The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side
September 19, 2012 at 4:28 AM
Older investors' complaints deserve -- and receive -- special scrutiny from regulators
Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions
July 17, 2012 at 3:53 PM
What the SEC is up to with its website's fancy new look
The redesign is a nod to social media and a recognition that it needs the public
May 14, 2012 at 3:37 AM
PR firms must recognize that RIAs answer to a higher authority
There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot
May 10, 2012 at 5:07 AM
The SEC will often 'tell' advisors what compliance issues deserve attention
The agency has its own ways of communicating what gets on its regulatory nerves
