Words In Edgewise

New Regulatory Fines Prove Financial Firms Must Improve Oversight Of Off-Channel Communications

The SEC And The CFTC Hit Financial Institutions With Nearly $550 Million In Fines Over Recordkeeping Failures Regarding Digital Communications. Firms That Don’t Improve Likely Will Face More Penalties.

By WSR Newsroom

/ 17 Aug 2023

New Regulatory Fines Prove Financial Firms Must Improve Oversight Of Off-Channel Communications

Survey Points To Need For Custodial Innovation

F2 Strategy Publishes Results On Views Of Wealth Management Custody, Highlights Needed Tech Enhancements, Data Delivery, Reveals 70% Are Multi-Custodial

By Michael Madden

/ 17 Aug 2023

Survey Points To Need For Custodial Innovation

Private Advisor Group On Outsourcing Solutions For Growth-Oriented Practices

Director Of Business Development Verne Marble Discusses How Outsourcing Can Help Advisors Grow Through Scale and Conduct Investment Management, With Minimal Client Disruption

By Chris Latham

/ 14 Aug 2023

Private Advisor Group On Outsourcing Solutions For Growth-Oriented Practices

Four Key Considerations For Financial Advisors Using Model Portfolios

Model Portfolios Can Add Value When Advisors Incorporate The Client’s Priorities, Build ‘Sleeves’ For Flexibility, Back-Test Performance, And Customize With A Mix Of Short-Term And Long-Term

By WSR Newsroom

/ 1 Aug 2023

Four Key Considerations For Financial Advisors Using Model Portfolios

EXCLUSIVE: Burney Selects Goldman Custody, Firms Discuss Future Of Custodial Space

$2.4 Billion RIA With Proprietary Investment Management System Chooses Goldman, Firms Expand On Custodianship For Alts And Customized Portfolios

By Julius Buchanan

/ 1 Aug 2023

EXCLUSIVE: Burney Selects Goldman Custody, Firms Discuss Future Of Custodial Space

A Task Force To Solve The Urgent Next Gen Challenge

The Financial Services Industry Must Solve The Demographic Crunch. We’re Assembling Industry Leaders To Explore Solutions.

By WSR Newsroom

/ 27 Jul 2023

A Task Force To Solve The Urgent Next Gen Challenge

Goldman Recruits Creative, Discusses Advisor Custodial Space

With Latest Custody Platform Recruiting Win, Goldman Exec Talks Advisor Choice, Digital Onboarding And Motivation For Advisors To Seek Multiple Custodians

By Julius Buchanan

/ 27 Jul 2023

Goldman Recruits Creative, Discusses Advisor Custodial Space

FA Match’s Ryan Shanks On The Merits Of Asking Tough Questions In Advisor Recruiting

Ryan Shanks Of FA Match Discusses The Merits Of Firms Conducting Honest Self-Assessments, Advisors Conducting Thorough Due Diligence And Smaller Practices Selling To Larger Buyers

By Chris Latham

/ 13 Jul 2023

FA Match’s Ryan Shanks On The Merits Of Asking Tough Questions In Advisor Recruiting

Top Five Overlooked Healthcare And Medicare Considerations

Advisors Must Understand The Details In Healthcare, Long-Term Care And Medicare To Provide The Best Advice For Clients

By WSR Newsroom

/ 5 Jul 2023

Top Five Overlooked Healthcare And Medicare Considerations

What Does It Mean To Be A Fiduciary?

We Must Broaden And Clarify The Definition Of ‘Fiduciary’ So Clients Receive More Comprehensive Advice, And At Times Go Above And Beyond Legal Requirements

By WSR Newsroom

/ 26 Jun 2023

How Internships Shaped Careers Of Three C-Suite Executives

Elements, Avantax And Absolute Engagement Senior Leaders Share Personal Experiences Of Internships Changing Their Lives And Careers

By Janeesa Hollingshead

/ 7 Jun 2023

How Internships Shaped Careers Of Three C-Suite Executives

Cross-Search’s Jodie Papike On The Potential Double-Edged Sword Of Consolidation

Jodie Papike Of Cross-Search Discusses How Advisors Seeking To Change Firms May Face A Double-Edged Sword Amid Consolidation, And How Advisors And Firms Can Both Succeed In Recruitment

By Chris Latham

/ 27 Apr 2023

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