Are You Able To Withstand OCIE Cyber Security Initiative Scrutiny? Eight Quick Tips for Compliance

Carlos Coutin, Financial Services Technology Strategist, Envision Consulting

The OCIE Cybersecurity Initiative scrutinizes a person's cyber security risk evaluation, threat detection, protective measures, and response plans to cyber attacks. There's more than one kind of inspection or examination a person could face from the OCIE: these include a standard examination assessing overall security practices and a close inspection of the firm following a particular problem...Read More »

Tips for Your Next Networking Event

By Rosemary Smyth, MBA, ACC, Author on Tuesday, September 30th, 2014

Rosemary Smyth, MBA, ACC, Author

Networking is the art of building and sustaining mutually beneficial relationships. The goal of networking is to communicate with a stranger and make a connection. Depending on the firm you work for, networking events may be mandatory for you to attend, so it’s good to look for ways to make networking easier for you and more comfortable...Read More »

ByAllAccounts Webinar on October 1 at 12pm EST with Morningstar’s David Blanchett.

By ByAllAccounts, Webinar Series on Thursday, September 25th, 2014

ByAllAccounts, Webinar Series

Learn Why Advisors Get Hired and Fired and How the New Concept of Gamma Can Change the Equation. Don’t miss this interactive 1-hour ByAllAccounts webinar that will provide you with critical knowledge on understanding and connecting with today’s discerning investor...Read More »

Niche Marketing for Financial Advisors

By Mike Renton, Advisor Websites on Wednesday, September 24th, 2014

Mike Renton, Advisor Websites

It has been one of the most popular topics in the financial industry over the last couple of months, but what exactly does niche marketing entail? Niche marketing is the business art of specializing in a particular market by serving specific needs to a particular client base..Read More »

Advisors Change Is Good (Business)

By John Anderson, Managing Director, SEI Advisor Network on Tuesday, September 23rd, 2014

John Anderson, Managing Director, SEI Advisor Network

Complacency is the biggest risk to a financial advisor’s business.” In light of competition from all areas, aging demographics, compliance and world financial markets, we cannot afford to be ostriches sticking our heads in the proverbial sand. We need to embrace change and capitalize on it. We need to evolve our businesses...Read More »

How Some Alternative Funds Producers are Building Infrastructure to Scale Efficiently

By Cynthia Stephens, VP of Marketing, ByAllAccounts on Thursday, September 18th, 2014

Cynthia Stephens, VP of Marketing, ByAllAccounts

In the mid 1980s the costs of mutual fund trades were high. Over the past 25 years through services like Fund/SERV® from The Depository Trust & Clearing Corporation (DTCC), these costs have shrunk dramatically to mere pennies. DTCC’s Ann Bergin thinks the opportunity to increase operational efficiency in the alternative investments space is even better than the mutual fund market transformation...Read More »

Regulators Propose Rule Requiring Succession Plans

Peter McGratty CFA, VP Business Development, Pinnacle Advisor Solutions

You may have vacationed this summer, but your regulators did not! The North American Securities Administrators Association (NASAA) opened a public comment period running from August 1 to September 30th on a rule that would require financial advisors to put a succession plan in place. Some compliance consultants believe this new rule may be on the fast track and could be finalized before year-end...Read More »

ByAllAccounts' Oct 1st Webinar Reveals Key Insights on Today's Investor: Why do they hire and fire advisors?

By ByAllAccounts, Webinar Series on Tuesday, September 16th, 2014

ByAllAccounts, Webinar Series

KEY INSIGHTS ON TODAY’S INVESTOR: Why do they hire and fire advisors? Learn about other factors that have a more significant impact on retirement income than alpha and beta..Read More »

Do you need account aggregation? [Assess yourself now]

By Cynthia Stephens, VP of Marketing, ByAllAccounts on Thursday, September 11th, 2014

Cynthia Stephens, VP of Marketing, ByAllAccounts

Why should you use automated account aggregation? After all, according to the idiom – “if it ain’t broke, don’t fix it”. If you receive consolidated client reports for review meetings, you may not realize how many hours went into preparing them, time that could have been re-allocated to higher value-add activities. How will you scale without adding operations heads, as the firm adds new clients in 2015?..Read More »

What is Involved in an IT Security Audit?

Carlos Coutin, Financial Services Technology Strategist, Envision Consulting

Companies are increasingly foregoing IT security audits, with the belief that these audits are unnecessary. But neglecting security audits can be suicide for a business. Just one breach can cost millions of dollars, leak valuable corporate information, or destroy the reputation of a company. There are many advisors that volunteer, give back to their community and use their skills and talents to become board members for not-for-profits, foundations or endowments...Read More »