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CFO
December 1, 2009 |
A Road Map for Transformation Outsource procurement requires a deep analysis of current practices compared with best practices... Few corporate leaders know how to communicate in a way that inspires their staffs...   |
CFO
February 1, 2005 |
Go Deeper Boards and audit committees should interact with finance executives below the CFO level, too, writes a reader. Another letter to the editor: Employers must take the time to understand the terminology of the tech people they hire. |
CFO
April 1, 2011
CFO Readers |
Smoke and Whistles Readers comment on corporate fraud and other current topics: "Where There's Smoke, There's Fraud" ..."Rallying 'Round the Red Flags"... "Space Race"... "Integration Acceleration"... |
CFO
February 1, 2010 |
Support for Health Reform: Concept Versus Realities Readers question the level of public support for health reform and comment on compensation trends and more. |
CFO
May 1, 2011
CFO Readers |
"O Canada" Readers comment on America's banking woes and other topics. |
CFO
October 1, 2011 |
It's Still Not Easy Being Green Readers comment on sustainability, cloud computing, IFRS, and other topics of recent stories. |
CFO
March 1, 2010
David M. Katz |
Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy. |
CFO
February 1, 2008 |
Together We Can Letters to the Editor: Readers write to say that we can reduce our carbon footprint, that accounting doesn't need to be as complicated as quantum mechanics, that you can fight the SEC -- if you're willing to take the risk, and more. |
CFO
May 1, 2009
CFO Readers |
Avoid the "Spiral of Death" Letters to the Editor: 401(k) programs should contain some asset-protection provisions... Delegating duties can conflict with cost-cutting efforts... There are many ways for companies to control legal costs... |
Investment Advisor
February 2008
Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. |
Financial Advisor
December 2005
Harold Evensky |
Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients. |
CFO
December 1, 2004
Randy Myers |
Busting the Brokers Eliot Spitzer's latest investigation has companies taking a hard look at their insurance programs. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
CFO
June 1, 2008 |
Be Prepared Readers write to say that most executives lack the courage to admit that most data breaches are the fault of insiders; that Standard & Poor's new enterprise risk management rating effort should have been launched long ago; and more. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
Registered Rep.
December 11, 2002
Rick Weinberg |
PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well. |
Registered Rep.
February 1, 2003
David A. Gaffen |
An Employer's Market It's a hirer's market out there, but brokerage firms have not stopped recruiting. In fact, although it is quieter than usual, many firms are still willing to pony up big bucks in hopes of attracting top-shelf talent. |
Registered Rep.
March 1, 2005
Steve Watkins |
Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice. |
CFO
March 1, 2012
CFO Readers |
More on Social Media and Business Readers comment on social media, security, patents, and other topics of recent stories in CFO. |
On Wall Street
December 1, 2009
Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? |
Registered Rep.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? |
CFO
November 1, 2003 |
Sarbox's Unseen Costs "The crucial unseen cost is that of innovations foregone or delayed," says a reader. More letters to the editor: Microsoft on options... thoughts on Black-Scholes... expensing flaw... the root of the problem |
Registered Rep.
October 1, 2004
John Churchill |
BrokerAdvisor BrokerAdvisor Let's Call the Whole Thing Off! The Financial Planning Association and some consumer groups are in court in an effort to block brokers from introducing themselves tp prospective clients as finanical advisors or financial consultants. |
CFO
April 1, 2009 |
We're Not Going Back Readers write to say that TARP funds are far from free; that the government's economic stimulus package rewards bad behavior by both companies and consumers; that companies can be more proactive in controlling their health-care costs; and more. |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
Financial Planning
March 1, 2008
Bob Veres |
Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors. |
Inc.
June 1, 2000
Jill Andresky Fraser |
Company for Sale by Owner -- or Maybe Not Business 101: Who should sell your company? You? A business broker? An investment banker? How to make the call... |
CFO
July 15, 2008 |
Countering the Counter-Attack Readers write to say that blaming counterfeiting on outsourcing is a flawed argument; that not all auditor advice should be off-limits; that financial-reporting mistakes are usually caused by incompetent staff; and more. |
Registered Rep.
November 1, 2002
Michelle Leder |
Training Brokers Not to Flunk Out By focusing their training budgets more effectively, firms hope to trim an attrition rate among new hires that, even in good times, exceeds that of other industries. |
CFO
June 1, 2010
CFO Readers |
Growing Up Readers comment on growth strategies, credit options, the role of the chief revenue officer, and more. |
Registered Rep.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. |
Investment Advisor
August 2006
Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors. |
Financial Advisor
May 2006
Andrew Gluck |
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. |
Registered Rep.
December 3, 2010
Kristen French |
SEC Says No New Rules On Broker Bonuses The SEC is charged with regulating executive compensation under Dodd-Frank legislation, but not broker bonuses. "I've checked with everyone here and there is no rulemaking that the SEC is undertaking at this time with respect to broker bonuses." said a spokesman. |
The Motley Fool
October 14, 2009
Dan Caplinger |
The Best Investment You'll Ever Make Stop wasting money and take control of your finances; put your money into a discount brokerage account. |
Registered Rep.
January 1, 2003
Amy Leavitt |
Don't Sell, Help In clients' minds, your fees are a leading indicator of the value they will realize from your services. Communicate clearly the value of your services to potential clients to make certain they understand the value they will realize for their fee. One tool to do this with is pricing. |
CFO
September 1, 2005
Russ Banham |
Seeing No Evil The contingent-commission scandal has called into question long-standing insurance practices. But corporate risk managers share the blame. |
CFO
October 1, 2009 |
Giving It Away Readers write to discuss the meaning of "shareholder value" and the need for CFOs to incorporate new "hard numbers" into human-resources analytics. |
The Motley Fool
August 5, 2005 |
A Buyer Broker Can Help You Not all real estate brokers have your best interest at heart -- be choosy. |
Investment Advisor
September 2005
Kathleen M. McBride |
Happy Brokers New Broker Sentiment Index finds personal contentment and market optimism. |
The Motley Fool
March 12, 2004 |
Discount vs. Full-Price Brokers Why should you pay 10 times more for a stock trade? |
Registered Rep.
November 3, 2004 |
Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors. |
Commercial Investment Real Estate
Mar/Apr 2004
Roxanna Guilford-Blake |
Star Search Some commercial real estate companies have the magic touch: They attract and retain the best and brightest brokers. Others aren't so fortunate. |
Managed Care
July 2004
John Carroll |
Going for Brokers: Spitzer Rides Again The noted and newsworthy attorney general of New York is taking aim at some of the biggest middlemen in the insurance business. |
Registered Rep.
November 1, 2005
Kristen French |
Bonus Bait Morgan Stanley is planning to offer bonuses to brokers who expand their production in 2006. |
Registered Rep.
January 1, 2003
Gaffen & Geracioti |
The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking. |
The Motley Fool
March 22, 2011
Dan Caplinger |
This Will Make You a Smarter Investor There's more to smart money management than just picking great stocks. Increasingly, it's becoming just as important to find the right discount broker to give you the best and least expensive access to the investments you want. |
The Motley Fool
October 30, 2009
Dan Caplinger |
Why Government "Help" Could Become Your Next Nightmare The government wants brokers and other financial professionals to act in their clients' best interest, but if you're a client, you might well be much happier keeping things exactly the way they are now. |
U.S. Banker
November 2009
Steve Garmhausen |
Fulton Financial's Recipe for Recovery The bank s sagging brokerage unit reversed its fortunes when it ditched the commissions and switched to a fee-based model. Then it brought in a rainmaker. |
OCC Bulletin
September 5, 2002 |
Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks. |
