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Articles tagged "National Compliance Services"


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Barnaby Grist: They asked me to help them find a firm to invest in and we’ve been talking to a bunch of firms. This was the first one I got really excited about.
June 1, 2018 at 3:01 PM

Tracy Calder spent 18 years at UBS before leading efforts at JP Morgan Securities.

LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest

Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines

January 26, 2016 at 4:11 PM

Ken Kaltman: Big is better for the client

As RIA compliance complexity explodes, two big outsourcers merge to keep pace

National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand

November 3, 2015 at 8:52 PM

The VEO Village was moved to the fourth floor for greater space but lost some flow in the process.

What marketing truths emerged from the exhibit booths at TD Ameritrade's LINC event in San Diego

Flow, buzz and frenzy were constrained by the multi-floor set-up but new players in the RIA space celebrated the event and its value proposition

February 4, 2015 at 4:41 AM

Mike Alfred: We're showing sensitivity here.

How BrightScope plans to publicize RIA advisory fees fairly amid all those onion layers

One competitor is convinced the Alfreds are merely rewarding fee obfuscation but the San Diego iconoclasts refuse to be discouraged

April 12, 2013 at 5:11 AM

Mark Cortazzo: I don't feel bad for the person who was expecting this residual revenue, because they're not doing their job.

Why a $750 million LPL hybrid is selling its annuities expertise by eyeballing client contracts for RIAs

VAs aren't all bad, according to one New Jersey RIA -- in fact, some yellowing agreements are well worth a second look and could be worth keeping

March 26, 2013 at 3:23 AM

Shiyan Koh: It's like a dating website for advisors.

NerdWallet's lead generation website has 20 Bay area advisors in beta, MIT, Wharton, Brown and Stanford folks running things and a Silicon Valley confidence

For Ask a Financial Advisor, the medium is the (video) message and the specializations include Lutherans

March 5, 2013 at 6:12 PM

Les Abromovitz: It will be of little consolation to clients to know that their advisors' nest eggs went down the drain along with their own.

SEC may tackle RIAs claiming to have 'skin in the game'

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

December 28, 2012 at 2:30 AM

Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 at 5:01 AM

Les Abromovitz: An RIA should have ready access to current contact information for clients, employees, regulators, custodians, and service providers.

RIAs must prepare for post-disaster recovery or regulators will lower the boom

Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients

October 29, 2012 at 3:22 PM

Ray Lucia: I removed the slides that are in question from my seminar presentation.

With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners

The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side

September 19, 2012 at 4:28 AM

Les Abromovitz: Policies and procedures can protect elderly clients who exhibit signs of a cognitive impairment.

Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

July 17, 2012 at 3:53 PM

Les Abromovitz: The SEC is embracing social media. It remains to be seen if social media users will embrace the SEC.

What the SEC is up to with its website's fancy new look

The redesign is a nod to social media and a recognition that it needs the public

May 14, 2012 at 3:37 AM

Les Abromovitz: You are destined to have problems if the PR firm believes that regulations need not get in the way of a great marketing campaign.

PR firms must recognize that RIAs answer to a higher authority

There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot

May 10, 2012 at 5:07 AM

Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

The SEC will often 'tell' advisors what compliance issues deserve attention

The agency has its own ways of communicating what gets on its regulatory nerves

April 9, 2012 at 5:58 AM

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