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Taking Some Risk Out of Expert Networks

Published on April 14, 2011 By Wall Street Journal

Gathering information through expert networks can expose a firm to scrutiny by regulators. Dow Jones columnist Suzanne Barlyn talks with Jim Heinzman, managing director of securities solutions for NICE Actimize, about how firms can monitor their expert…

Delivering The Bad News

Published on April 11, 2011 By Wall Street Journal

How advisers can effectively tell clients they don’t have enough money saved to live on and how one new mutual fund is barred to advisers are the topics of the latest Wealth Editor’s report by Kevin Noblet, managing editor for wealth management at Dow …

Tools for Hedge Fund Advisers

Published on March 24, 2011 By Wall Street Journal

Keeping up with compliance willl be a big task for hedge fund advisers who are registering with the SEC for the first time. Dow Jones columnist Suzanne Barlyn speaks with Larry Goldfarb, senior sales director of Subserveo about helpful software tools.

Flying Fractional to Win Business

Published on March 21, 2011 By Wall Street Journal

For high-flying financial advisers and their wealthy clients, owning a fractional share in a private jet may be an important business-building tool. Dow Jones Wealth Adviser’s Veronica Dagher speaks with Flight Options CEO Mike Silvestro about the adva…

Time’s Running Out For New Disclosure

Published on March 18, 2011 By Wall Street Journal

A new type of disclosure brochure is due at the SEC by March 31 for most registered investment advisers. Dow Jones columnist Suzanne Barlyn speaks with Guy Talarico, chief executive of Alaric Compliance Services about finishing the task during the fin…

Helping Clients Redefine Retirement

Published on March 17, 2011 By Wall Street Journal

Andy Seig, head of retirement services at Bank of America Merrill Lynch,
says there are several topics advisers need to discuss with their
clients sooner, rather then later. Dow Jones Wealth Adviser’s Veronica
Dagher reports.

Broker’s World: More Texting Could Be Coming Soon

Published on March 16, 2011 By Wall Street Journal

Many brokers carry two mobile phones since their work-provided devices don’t allow texting. But brokers’ pocket space could be freeing up as new technology is helping texting restrictions evolve, TextGuard founder Todd Cohan tells Dow Jones Newswires’ …

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