Tag: Compliance services

linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.

Recently, the Internal Revenue Service (IRS) announced that it was sending a questionnaire out to about a thousand 401(k) plan sponsors. 

Even with clarity from FINRA, broker/dealers have yet to christen social networking.

linkedFA, a social networking site for financial professionals, said it now offers a feature to satisfy compliance concerns of brokerage and wirehouse firms.

PlanTools, LLC, has introduced an expanded suite of online tools that automates the production of data for inclusion in the Department of Labor's required Schedule C reporting.

The Value Quotient announced the release of CLIENTconnect, fiduciary management solutions delivered by financial advisers to their 401(k) and 403(b) clients.

An outgrowth of the firm RIA In A Box, the new firm Lexington Compliance aims to support registered investment advisers (RIAs) with management and review of compliance requirements.

The Financial Industry Regulatory Authority (FINRA) said that supervisory failures at MetLife Securities allowed two brokers to engage in undisclosed outside business activities that cost clients millions of...

Consulting firm RIA In A Box said it will begin providing review services to help registered investment advisers (RIAs) ensure advertising materials are in compliance.

Northwestern Mutual Investment Services, LLC, City Securities Corporation, and Fifth Third Securities, Inc., are the latest firms to settle charges with FINRA over the sale of auction-rate securities...

RIA In A Box, a consulting business that helps set up registered investment advisory (RIA) firms, said it will begin offering mock audit services to RIA firms that...

McGraw-Hill's Financial Communications announced the release of Advisor Marketing Solutions, an online program designed to help financial advisers attract prospects and build client relationships.

When it comes to qualified retirement plans, there are three kinds of people: people who are fiduciaries and know it, people who aren’t fiduciaries and know...

Wolters Kluwer Financial Services said it added several interactive and multimedia features to ComplianceHeadquarters.com.

DST Retirement Solutions announced its provider clients can now deliver compliance test results to sponsors electronically, via a client-branded Web site.

Automated Compliance Solutions (ACS) said its new compliance program management software for broker/dealers can give smaller broker/dealers bigger tools.