Articles tagged "National Compliance Services"

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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 — 4:11 PM UTC

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 — 8:52 PM UTC

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 — 4:41 AM UTC

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 — 5:11 AM UTC

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 — 3:23 AM UTC

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 — 6:12 PM UTC

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 — 2:30 AM UTC

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 — 5:01 AM UTC

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 — 3:22 PM UTC

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 — 4:28 AM UTC