Tag: Compliance services

linkedFA, the first social networking Web site that enables financial professionals to leverage social media compliantly, announced the beta release of a mobile version of www.linkedFA.com.  

Pershing LLC, a BNY Mellon company, has added more than 20 providers to its ValueAlliance program.

Social media compliance firm, Actiance, added capabilities to its Socialite platform that allow organizations to approve content and changes made to employee LinkedIn profiles.

TIAA-CREF has collaborated with the Center for Due Diligence (CFDD) and PlanTools to create the Advisor Network.   

Vanguard announced that that James M. Delaplane, Jr. will join the investment management firm to lead its government affairs office in Washington, D.C.

PlanTools has completed its “Revenue Sharing Database,” which houses and automates the disclosure of open architecture and group annuity revenue sharing agreements.

Steven Harding, formerly of Independent Fiduciary Services (IFS), has started P2E Consulting Group LLC.

Jason Jeskey, a former practicing Employee Retirement Income Security Act (ERISA) attorney, has joined the Retirement Plan Advisory Group (RPAG) as a Senior Plan Consultant and ERISA Specialist. 

RIA In A Box, a registered investment adviser (RIA) consulting firm, created its Last-Minute Audit Prep service to provide support and information for RIAs facing an SEC audit.

The Principal Financial Group announced it has made the necessary adjustments for advisers and plan sponsors to comply with new retirement plan fee disclosure regulations.

Marketeria, a marketing and content management firm for financial advisers, will be offering its clients use of the Arkovi social media archiving solution.  

RidgeWorth Investments has hired Robert Zakem as Chief Compliance Officer and General Counsel, and Joseph O'Donnell as Chief Compliance Officer for RidgeWorth Funds.  

RIA In A Box has created Microsoft Word-based templates with step-by-step instructions for the new ADV 2A and 2B forms.

Fee disclosure regulations coming in 2011 and 2012 may seem daunting, but they also abound in opportunities.

Cambridge Investment Research, Inc. has announced a strategic partnership with Retirement Plan Advisory Group (RPAG).  

linkedFA, a social networking site designed for financial professionals, has acquired AdvisorConnect, a private, online community for independent advisers.  

 J.P. Morgan has enhanced its regulatory reporting services for money market funds to assist asset managers in complying with the Securities and Exchange Commission(SEC) revised Rule 2a-7 requirements.  

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

Fusion Business Group, a provider of technology consulting and business level advisory services to alternative investment advisers, will now provide clients of Automated Compliance Solutions (ACS) with infrastructure,...