The Human Dimension of Compliance
- Compliance Software Lifts Rules Burden. TED NEEDLEMAN // Investors Business Daily;5/19/2014, pA20
The article offers the author's view on compliance software, a tool for financial advisers in the U.S. The author states that the software is spreading fast as the financial advisers move to meet the government regulations. The author notes that the mobilization of the products requires an...
- What Is a Professional? Bearden, Frank C. // Advisor Today;Aug2002, Vol. 97 Issue 8, p82
Discusses the situations facing two financial advisors to measure their level of professionalism. Characteristics of professionals; Factor that influences the public's view of financial advisors.
- Fewer Assets, More Advisors. // Investment Advisor;Nov2009, Vol. 29 Issue 11, p28
The article reports on the result of the ninth annual Evolution/Revolution report conducted with the collaboration of the Investment Adviser Association (IAA) and National Regulatory Services (NRS). The report shows that the number of investment advisors registered at Security and Exchange...
- National Regulatory Services Updates Compliance-Education Program. Cumming, Chris // American Banker;5/21/2013, Vol. 178 Issue 78, p8
The article reports National Regulatory Services, a company based in Skokie, Illinois that makes compliance software, upgraded its ComplianceMAX financial services platform as of May 21, 2013. The ComplianceMAX software includes courses on annual compliance meetings and insurance in the new...
- Industry funds believe RG 146 generally adequate. TAYLOR, MIKE // Money Management;2/20/2014, Vol. 28 Issue 4, p4
The article reports that the industry superannuation funds in Australia believe on the sufficiency of regulatory guide (RG 146 ) for those people who provide financial services in the country.
- Is Your Office a Mess? Pizzani, Lori // Bank Investment Consultant;Dec2003, Vol. 11 Issue 12, p18
Highlights the role of professional organizers who provide aid and assistance to investment consultants, financial planners and their consultants. Service fees; Types and scope of services provided; Tips for selecting professional organizers. INSET: How to Find an Organizer.
- COMPLIANCE WORRIES. // Internal Auditor;Jun2012, Vol. 69 Issue 3, p13
The article presents the top compliance concerns of 1,975 business professionals with around 17 percent citing management override of controls, and lack of defined ethics roles, authority and accountability.
- 45% of IFAs spend up to 10 hours a week on compliance. // Money Marketing;10/2/2003, p20
Reports that 45% independent financial advisers in Great Britain spend 10 hours a week on compliance.
- Profitable on Purpose. Bowen Jr., John J. // Financial Planning;Jul2002, Vol. 32 Issue 7, p109
Recommends strategies for success for financial planners. Results of the 'Maximize the Bottom Line' study; Target market for financial advisers; Advantage of financial institution partnership to financial advisers.