Backstrom McCarley Takes on Additional Role as Broker-Dealer
- The winds of change. Smith, Ian // Money Marketing;1/6/2005, p30
This article reports that many broker consultants and Independent Financial Advisors (IFAs) will remember a golden age where consultants called on IFAs with rate cards and a suitcase full of props. The product providers have invested heavily in the development of their people and should equally...
- 2005 Traders Magazine Survey of Correspondent Clearing Firms. // Traders Magazine;Apr2005, Vol. 18 Issue 238, p81
Presents a list of correspondent clearing firms. Services offered by ADP Clearing & Outsourcing Services; Provision of clearing, execution, and related services to broker-dealers by Advanced Clearing; Offer of correspondent clearing of securities transactions by BMO Nesbitt Burns.
- PART 3--YOUR STOCKBROKER. Walker, Chris // Money (Australia Edition);Feb2004, Issue 2, p63
Offers tips on choosing a full-time stockbroker. Advantages of full-time stockbrokers; Services it offer; Factors to consider when selecting a broker.
- FINRA Is At The Back Door Of Index Annuity Regulation. Kennedy, Danette // National Underwriter / Life & Health Financial Services;11/5/2007, Vol. 111 Issue 41, p20
The author discusses the index annuity regulation in the U.S. She states that Financial Industry Regulatory Authority (FINRA) does not have the authority to regulate fixed index annuity (FIA) products in which many registered representative are running their FIA business through their...
- Small FA Firms Face Tough Challenges, Hard Choices. Preston, Darrell // Bond Buyer;06/01/2000, Vol. 332 Issue 30903, p1
Reports on factors forcing small United States financial advisory firms to face the tough choice between expanding or focusing on niches. Growing regulatory and compliance pressures; Shrinking base of new bond issues; Projected increase in the number of small and mid-size firms looking to...
- Â£9m deal gives IFAs further fee and FSCS subsidy. // Money Marketing;9/19/2002, p2
Reports that financial advisers will continue to see their compensation scheme costs and regulatory fees subsidized by product providers in Great Britain. Analysis of major topics of interest; Effects on the financial services sector; Implications on personal financial advisers.
- NEWSWATCH. // Money Marketing;9/19/2002, p7
Reports on developments relevant to the financial advising sector of Great Britain as of September 19, 2002. Analysis of major topics of interest; Effects on the financial services sector; Implications on personal financial advisers.
- INDEPENDENT VIEW. Byrne, Tony // Money Marketing;9/19/2002, p35
Comments on the impact of financial services reviews on the financial services sector of Great Britain. Analysis of major topics of interest; Effects on the financial services sector; Implications on personal financial advisers.
- Life and soul of the party conference. Vaizey, Ed // Money Marketing;9/19/2002, p52
Comments on key issues relevant to the party conference season of the money marketing and financial advising sector of Great Britain in 2002. Analysis of major topics of interest; Effects on the financial services sector; Implications on personal financial advisers.