Tag: Compliance services

Raymond James has formed a partnership with Actiance to provide its financial advisers access to social media tools including LinkedIn, Facebook, and Twitter. 

The Charles Schwab Corporation has entered into an agreement to acquire Compliance11, Inc., a provider of cloud-based, regulatory compliance software.

A new Web site is offering financial advisers social media support, intended to increase their client base.   

Transamerica Retirement Services has introduced an ERISA Section 3(21) fiduciary service to help retirement plan advisers and sponsors mitigate investment fiduciary risk.

The Securities and Exchange Commission (SEC) selected Andrew J. Bowden to be Associate Director of the National Investment Adviser/Investment Company Examination Program.

Vestmark, a provider of advisory solutions and wealth management technology, has enhanced its VestmarkONE platform. 

United Retirement Plan Consultants is introducing a Compliance Warranty for its 10,000 current plan sponsor clients as well as all new prospects.

According to Geoffrey Ward, National Director of the MetLife Pension Resource Center, the retirement plan advisory business has transformed from one that sells products to one that takes on...

ADP will make Mesirow Financial’s Fiduciary Partnership service available to its Retirement Services clients, to help them better manager fiduciary liability and mitigate risk.  

The Self-Regulatory Organization for Independent Investment Advisers (SROIIA) is continuing its mission towards creating an SRO that meets the needs of advisers, and has completed its second round...

linkedFA, a social networking site for financial professionals, has aligned with Businesswire, a news distributor, to give linkedFA members direct access to news releases from Fortune 1,000 companies...

Nationwide Financial has created a Web site to help advisers stay up-to-date on regulatory and legislative changes, after a survey it conducted found this to be one of...

Castle Rock Innovations, LLC has contracted with Morningstar, Inc. for data to power its flagship AXIS Retirement Plan Analytic Platform.

Safe Harbor Asset Management (SAM) has formed a partnership with MilleniuM Investment & Retirement Advisors (MIRA) in support of its 401k Solution.

Principal Financial Group is introducing The Principal Warranty, designed to help financial professionals, third party administrators (TPAs) and plan fiduciaries manage potential risks.

In order to meet the firm’s expanding client service needs, Drinker Biddle & Reath LLP has created a Financial Services ERISA Team.

Castle Rock Innovations (CRI) announced its partnership with The Wagner Law Group to support CRI's AXIS Retirement Plan Analytic Platform.

Advisor Group, an independent network for broker/dealers, will be offering its advisers access to SunGard’s Protegent Social Media Surveillance tool.  

Castle Rock Innovations (CRI) and Millennium Investment and Retirement Advisors (MIRA) will collaborate to provide turnkey 408(b)(2) fiduciary analytics and consulting services.

Zach Gronich, President and CEO of RIA in a Box, says that advisers who will need to register at the state level should be aware of the paperwork...