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Wall Street & Technology
May 30, 2007
Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.   |
Wall Street & Technology
November 18, 2005 |
Impact's Retirement Road Map Impact Technologies Group launched its Retirement Road Map sales system, which assists financial advisers in retirement planning for baby boomers. |
Financial Planning
January 1, 2005
Paramjit Mahli |
Adviser Pulse Regulations take their toll on financial advisers. |
Wall Street & Technology
June 23, 2008
Cory Levine |
SunGard Introduces New Compliance Module Within Asset Arena Asset Arena Compliance improves compliance workflow and data management from the front to the back office. |
National Defense
March 2014
Traci Thompson |
Supplier Codes of Conduct Often Overlooked A thoughtful and effective supplier code not only decreases the likelihood of trouble to a defense contractor because of its supply chain, but also serves as a foundational tool that provides compliance stability and helps drive long-term success. |
Wall Street & Technology
August 27, 2004
Jessica Pallay |
Building the Right Team With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry. |
Inc.
July 2008 |
Advisory Alternatives If you are unable to devote the time and resources necessary to a full-fledged board of advisers, there are alternatives. |
IndustryWeek
January 1, 2008
David Blanchard |
How Ethical is Your Supply Chain? Supplier ethics management offers a way to plug global ethic gaps. |
Registered Rep.
July 24, 2007
John Churchill |
SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers. |
Investment Advisor
March 2006
Parks & Paris |
IA Soapbox: Why We Went RIA In the RIA model, compliance issues serve to remind us that we are on the same side of the table as our client, and that staying compliant will help us forge together a long-lasting relationship. |
IndustryWeek
May 1, 2008
Nick Zubko |
Screen Savings A closer look at potential suppliers helps Avery Dennison screen for quality, consistency and social responsibility. |
National Defense
November 2013
John D. Altenburg |
Winding Down War Zone Contracts As with any arduous task for which a completion date is announced, the government assumed the risk of Afghanistan defense contractor lethargy -- or worse -- when it announced when the war will end. |
Financial Planning
November 1, 2005
John Bowen |
Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc. |
IndustryWeek
October 1, 2008
Nick Zubko |
Five Keys to Managing Supplier Information Technology can certainly help, but only if you take all the necessary steps. |
IndustryWeek
May 18, 2011 |
How to Measure Your Suppliers' Sustainability Efforts Follow these four steps to launch a supplier viability initiative. |
IndustryWeek
April 1, 2009
Nick Zubko |
10 Warning Signs of a Supplier in Peril During this unique economic climate, relationships should be a truly collaborative process, with the supplier communicating well in advance of any anticipated failure or disruption. |
Investment Advisor
February 2008
Papa & Marks |
The New Paradigm Integrating operations and compliance. |
HBS Working Knowledge
July 5, 2004
Jonathan Byrnes |
Manage Your Suppliers as a Resource Your suppliers can be your most valuable hidden resource. If your supplier management function sets its sights on innovation and value creation, you can find a clear pathway to success. |
Wall Street & Technology
April 14, 2008
Melanie Rodier |
Advisers Turn to Asset Managers for Advice During Economic Slump Nearly all financial advisers say the ability of a fund company wholesaler to deliver an informed opinion impacts their transaction decisions. |
Financial Planning
November 1, 2009
Donna Mitchell |
Year-End Review Here are some questions for registered investment advisers to answer while annually reviewing their policies and procedures. |
Financial Planning
October 1, 2009
Nancy Lininger |
What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role. |
CFO
December 1, 2011
Alix Stuart |
The True Cost of Going Public Sarbox compliance costs pale in comparison to other IPO and post-IPO expenses. |
Financial Planning
October 1, 2005
John J. Bowen |
Up Close and Personal "Know your client" isn't just industry jargon. Research shows that client-centered financial advisers get more business. |
Inc.
April 5, 2010 |
How to Sell to Coca-Cola Hint: Be different. And then make sure you prove it to us. |
IndustryWeek
December 1, 2006
John Teresko |
Still Not RoHS Compliant? Majority of companies don't have centralized compliance solution. |
ONLINE
November 2001
Willem Noorlander |
Rights and Obligations of Information Users Information users have a litany of observations and complaints about information suppliers... |
Financial Planning
September 1, 2006
Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. |
Wall Street & Technology
July 1, 2005
Maria Santos |
HP Eases Compliance Monitoring To provide CIOs with a solution for automated monitoring and reporting of compliance controls, Hewlett-Packard released OpenView Compliance Manager. The solution analyzes, compiles and reports compliance and IT risk information in a centralized dashboard view. |
CIO
July 1, 2005
Edward Prewitt |
Sox Compliance Now Business as Usual The effect of the Sarbanes-Oxley Act (Sox) on IT budgets is already receding, as compliance becomes just another cost of doing business, according to recent reports. |
AFP eWire
November 5, 2007 |
Financial Advisers Need More Philanthropic Training Many financial advisers admit they are not comfortable with their knowledge of charitable giving, according to new research. |
Entrepreneur
December 2008
Rosalind Resnick |
Looking to the Next Level There are alternate places to find the working capital you need. |
Wall Street & Technology
November 21, 2006 |
FSIs Care More About Compliance New research out of the Business Performance Management Forum verifies the financial services industry's high prioritization of compliance as a business function. |
Financial Planning
July 1, 2006
Jane Worthington |
Compliance Tips: What Now? John Walsh, of the SEC's Office of Compliance Inspections and Examinations, offered these ten points for post-review discussions to attendees at NRS' Spring Compliance Conference. |
