Blog Entries by Karla Paxton, Client Engagement Manager, ByAllAccounts

Understanding Your Responsibilities Regarding the New SEC approved Supervision Rules

By Karla Paxton, Client Engagement Manager, ByAllAccounts on Wednesday, November 5th, 2014

Karla Paxton, Client Engagement Manager, ByAllAccounts

Home Offices and FINRA members do you know what your responsibilities are regarding the SEC approved Supervision rules that go into effect on December 1st?..Read More »

Following the fiduciary standard can translate into client retention and referrals

Karla Paxton, Client Engagement Manager, ByAllAccounts

Can the SEC actually enforce the Fiduciary standard or is it a matter of, “investor beware”? If so, then how can advisors give their clients the peace of mind that they are acting in a fiduciary manner?..Read More »

Change Your Thinking and Decrease Your Reconciliation Process. – There is Value in Providing Position Only Account Data – Part 2

Karla Paxton, Client Engagement Manager, ByAllAccounts

Another reason to consider position only data is; when you are reporting on held away assets, sometimes getting access to the transactions is not an option. The website does not have them or, if they do, they are not at a level where they can be accurately interpreted. With this type of access it would be better to just pull in the positions and at least provide your client the ability to look at what is in their account on a day to day basis...Read More »

Change Your Thinking and Decrease Your Reconciliation Process – The Value in Providing Position Only Account Data (Part 1)

Karla Paxton, Client Engagement Manager, ByAllAccounts

Fiduciary and asset allocation responsibilities have increased the need to report on non-managed accounts. Reconciliation is taking up more time with the need for reporting and monitoring these non-managed accounts...Read More »

How Far We Have Come! Meeting your Compliance Requirements and Tracking your Employee’s Personal Trades

Karla Paxton, Client Engagement Manager, ByAllAccounts

The employee compliance landscape has certainly changed over the past few years. In fact, now is a good time to take a look back, and then fast forward to the present – in order to see just how far we have come. There are four developments that quickly become apparent.....Read More »