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Articles published 6/2010


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Bill Crager: We do have a very large presence in the broker-dealer market, but most of the fiduciary work we've built will be delivered to the RIA market initially.

Envestnet is honing its business model -- and message -- as it drives toward an IPO

The giant product clearinghouse is recasting itself as a purveyor of fiduciary process

June 30, 2010 – 6:42 AM

Les Abromovitz: You can establish a dialogue with the SEC -- but beware of asking to change your audit to a different day.

Hello! The SEC wants your records by tomorrow

One advisor had a day to produce voluminous records. That's the kind of request likely to grow more common as the SEC performs more unscheduled audits

June 30, 2010 – 6:40 AM

Neesha Hathi is prepared to have Schwab accommodate most technology vendors but to marry far fewer

Schwab's Project C now has two tiers and three new names

The company's grand technology plan will include a modular plan and a turnkey package

June 29, 2010 – 10:00 PM

Bernie Clark: I’ve never seen us announce something that has been so universally embraced [as Project C].

A glimpse inside Schwab's EXPLORE conference

The gathering includes big RIAs looking to learn from each other

June 29, 2010 – 5:34 AM

According to an ADV dated May 25, Ronald M. Starr was chief compliance office of Starr Investment Advisors

Ronald Starr steps down from board seat citing the 'misfortune' of being his father's son

Son of Kenneth Starr says his actions are intended to keep adverse media attention away from GlobalOptions

June 29, 2010 – 5:33 AM

Marc Cohen: Frankly a number of our attorneys stayed up way too late sitting around a conference table continually throwing out words that could possibly get someone into trouble.

MarketCounsel's MailBanc automates away some of the liability risk of instant communications

A web-based email archiving and compliance tool for small to mid-size RIAs

June 29, 2010 – 4:21 AM

Elizabeth MacBride on how a small group of advocates for advisors and the fiduciary standard influence the debate this year in Washington, D.C.

What went right: the story of the fiduciary standard this year

A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

June 28, 2010 – 7:29 AM

Michael Lee: It wasn’t ugly before but it’s better and there’s much more data right on the main page

What four beta testers of Black Diamond's new software have to say about it

Testers of Blue Sky say that the product saves them time and effort

June 28, 2010 – 7:28 AM

A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers

Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

June 25, 2010 – 3:36 AM

Michael Kim: Advisors learned a tough lesson that they need to keep the pedal to the metal and seeking referrals is the best way to do that.

Fidelity primes the referral pump for RIA clients

A new program gets a warm reception from advisors ready to snap out of hand-holding mode

June 25, 2010 – 3:35 AM

Tom Harkin: “No-one has lost their money – period,”

Regulatory Wire: The public is depressed about financial reform and an exemption for auto dealers is just a warm-up

John Q Public doesn't know beans about financial reform -- except that it doesn't go far enough

June 25, 2010 – 3:27 AM

Catherine Ayers-Rigsby: When someone wants to use a new product, we don’t shy away from it. We research it and say: ‘Let’s go forward.’

Ceros Financial hangs a welcome sign out for RIAs who trade actively

The former Rydex RIA unit is starting new life under German ownership

June 24, 2010 – 5:13 AM

Ron Rhoades: Fiduciary organizations benefit from the media's growing attention to the fiduciary issue.

One-Man Think Tank: Being a fiduciary is suddenly in style, even as lawmakers dance around the issue

The conference committee puts off action for another day, but Ron Rhoades points out that the private sector is finding its own solutions

June 24, 2010 – 5:13 AM

Barnaby Grist: If you fit into the LPL box, that’s a great place to be, but if you like to do things your own way, you probably want to go to an environment that’s more customized to your needs.

Cetera Financial shores up its technology as it prepares to take on LPL for big hybrid RIAs

The face-lift of the old ING broker-dealers is starting with a big investment in Advent Software

June 23, 2010 – 5:54 AM

Mike Byrnes: Advisors need to consider their practices for courting clients.

10 advisors explain how they build sales without getting 'salesy'

High net worth clients want to get to know you and like you first

June 23, 2010 – 5:52 AM

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