RIA

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  Pershing Releases Advisor Business, Succession Planning Guidebook

  By James J. Green, AdvisorOne  |  January 16, 2012

  Practical guide from Pershing Advisor Solutions provides workbooks for, and case studies illustrating, successful advisor business and succession planning solutions.

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  The Few and the Proud: Chief Compliance Officers

  By Les Abromovitz  |  January 1, 2012

  CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations.  When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.    

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  Differences Between State and SEC Regulation of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm.  States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.

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  How to Avoid Sabotaging Your Compliance Exam

  By Les Abromovitz  |  January 1, 2012

  There is much more to compliance examination survival than knowing all of the rules. It helps to understand why the rules were put in place—and to recognize that examiners are not the enemy.

• RBC Wealth CEO Taft on Advisor Growth, Regulation

  By Janet Levaux, AdvisorOne  |  December 26, 2011

  John Taft heads RBC Wealth Management in the United States and recently stepped down as chairman of SIFMA, the financial-services lobbying group. Based in Minneapolis, he has worked in the industry since 1981 and recently spoke with Research about challenges confronting both the industry and the firm he leads.

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  RBC Wealth CEO John Taft on Advisor Growth, Regulation: Weekend Interview

  By Janet Levaux, AdvisorOne  |  December 2, 2011

  The firm has encouraged advisors with low levels of fees and commissions to depart as it aims for each rep to become a $1 million producer.

• Reality Check

  By Bob Clark, AdvisorOne  |  November 28, 2011

  I was recently accused by one of my friends of being a “numbers guy,” which, as a former philosophy major and professional journalist, I found quite amusing.

• ‘Selling’ Yourself With New Clients

  By Olivia Mellan  |  July 28, 2011

  Anybody following the latest politico-celebrity-insider trading scandals via Twitter, WikiLeaks or Facebook might well assume that everyone in a position of authority has feet of clay.

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  Advisors Beware, Client Testimonials on Social Media = Advertising—Compliance Watch

  By Elizabeth D. Festa  |  June 2, 2011

  Steps that social-media using advisors should take to avoid getting dinged by SEC examiners: focus on testimonials and file retention on LinkedIn and Facebook.

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  Mark Tibergien, Pershing Advisor Solutions: The Extended 2011 IA 25 Profile

  By James J. Green, AdvisorOne  |  May 6, 2011

  “It’s Groundhog Day in the industry,” says Mark Tibergien.