Guest Contributor: Diana Kearns, Director of Marketing and Public Relations, Accounting & Compliance International (ACI) An investment advisor is any entity that provides fee-based advice regarding the buying and selling of securities. Under the Investment Advisers Act of 1940, investment advisors are required to register with either the SEC or the state – which one
Dodd-Frank
Help! – Regulatory Reform Can’t Happen Without You – or Can It?
President Obama has signed what is considered the biggest financial regulatory reform legislation since the 1930’s into law… now what?comment box okcancel resized 600 The SEC and other regulatory bodies are now asked to figure out what this legislation means for the United States’ financial system, and what rules will make it work on Wall
Conference and Event Planning
Top 10 List of Dos and Don’ts for a Successful Wall Street Webinar
In this fast paced Wall Street world, not only is it a constant challenge to reach the people you want to be talking to, but also to keep their attention once you do. Webinars are an excellent tool to reach a greater scale of people from the comfort and convenience of their desks while showing
Financial Technologies Forum (FTF)
Financial Technologies Forum Supports Operation Backpack 2010
While our main business practice here at Financial Technologies Forum is to offer conferences and events to the financial services industry, we are not all business all the time. For the second year in a row, FTF supported Volunteers of America’s Operation Backpackinitiative that entails collecting and distributing backpacks to NYC’s homeless children. While we
Compliance
Social Media Leads to New Compliance Issues: Is Your Firm Prepared?
While researching for our upcoming Buy-Side Compliance & Risk conference in December, I came across an interesting topic which will probably develop into a session for the event – how is social media creating new compliance issues for firms? Social media sites such as Twitter, Facebook and LinkedIn are now all the rage, even in
Guest Blog
Economic Insights: Taxing Growth
Guest Contributer: Milton Ezrati, Partner, Sr. Economist & Market Strategist at Lord, Abbett & Co. Any more taxes will likely contribute to a slowing of the economy’s recovery. As the economy proceeds toward 2011, three forces will keep the recovery’s pace slow: 1) lingering financial and psychological scars from the 2008–09 crisis; 2) remaining debt
Conference and Event Planning
How Hard Could It Be? Conference Planning on Wall Street…
Starting off a brand new job is rarely smooth sailing, and is comparable to the first day of school. You have to meet new people and learn how to work well with them, as well as become knowledgeable in the daily operations and routine if you want to be successful. This is challenging at every
Conference and Event Planning
The Bull Run – and Maybe a Little Running of the Bull
Homework. I haven’t heard that word – well, let’s just say, in a long time. Despite that, however, the all too familiar feeling returned rather quickly – when the heck am I going to have time to do that? So, here I am in London dashing between appointments with clients talking shop (in heels, no less),
Cloud
The Fortune 500 & Cloud Computing
While cloud computing is making lasting strides in the financial services industry the current perception remains that this is a cautious area and some companies still have concerns with the cloud due to security threats and compliance issues. Fortune 500 companies seem to be ignoring that and investing away. Check out this video: To learn
Back-Office
Technology in Markets – What is it Good For?
Guest Contributor: Renée Colyer, Forefactor Perhaps I won’t be the most popular girl in high school for pontificating about technology in the markets in a less than flattering way. But I will go ahead and say I believe we take ourselves too seriously when it comes to articulating its importance. Many times in the past
