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3 Reasons Investment Services Firms Should Outsource Technology
In-house Vs. Outsourcing Like many businesses, investment services firms frequently debate building technology in-house vs. outsourcing. There are hidden costs and challenges with building in-house systems. An infrastructure in which systems can talk to each other and...
Key Trends in Advisor Compensation Planning
As need for new talent grows more competitive, investment firms need to keep up with financial advisor compensation trends. The need to remain competitive is important for numerous reasons, but perhaps one of the most critical reasons is due to the growing talent...
4 Ways to Improve Your Firm’s Month-end Close Process
Improving the Monthly Closing Process The month-end close process for broker-dealers is anything but simple. Intricate commissions and incentive compensation plans, plus regulatory oversight add to the already complicated, tedious process. Poorly executed procedures...
FINRA Compliance. Is Your Firm Prepared for its Routine Examination?
The Financial Industry Regulatory Authority (FINRA) regulates 3,700 member firms and nearly 630,000 registered reps and conducts over 2000 member firm examinations each year. FINRA conducts routine examinations of broker-dealers checking for compliance with industry...
Plan for Success: Advisor Compensation Research
The latest in Advisor Compensation Research As advisor compensation models continue to evolve it's critical to stay abreast of the current trends. The Kehrer Bielan 2018 Advisor Compensation Study consists of an analysis of trends in the structure and payouts for...
Talent Retention: 5 Best Practices to Retain Top-performing Advisors
Talent retention remains a significant challenge for investment firms — some lose a financial advisor as soon as a new one is recruited. By focusing on advisor engagement and satisfaction, firms can prevent their top-performing advisors from jumping ship to another...