Practice Management
LATEST
Outsourcing the Compliance Function
In a recent SEC Risk Alert on the issue of outsourcing compliance, the SEC’s concerns centered on a third-party provider’s scope of authority, its communication with staff and whether an outside compliance provider with multiple clients had the resources to sufficiently service the firm.
Peer-To-Peer
LATEST
The Odd Index or Two
More than a century later since the founding by Dow Jones of the world's first stock market index, we’re still trying to predict the direction of stock prices and track broader economic activity through the use of these analytical indices, some of which have very odd names.
Markets and Investments
LATEST
VAs in Asset Allocation
A hypothetical scenario explaining what percent of retirement assets should be in a variable annuity? Interesting…..
Industry Trends
LATESTBroker-Dealer Consolidations
Watch this video to hear CEO Lon T. Dolber share his views on B/D consolidation; it is a subject matter for which he has a great deal of passion and something he believes, in the long run, is not good for anyone.
Work/Life Balance
LATEST
Hypertension: A Top Health Concern
About 75 million American adults (32 percent) have high blood pressure—that's 1 in every 3 adults!* What are you doing about it?
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