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Five Trends to Watch in 2010 January 04, 2010 Making predictions for 2010 would be much simpler if only 2009 were less complex. The year started with accusations of extensive fraud and investor confidence in tatters. Confidence started to return by midyear, as the markets settled down; but autumn brought news of yet another headline-grabbing scandal. Perhaps it is fair to summarize 2009 as a year that began in panophobia�fear of everything�but gradually saw anxieties become much more discriminating. Appetite for investment risk rose; but aversion to fraud and counterparty risk remained. The question is, where should we keep our attention focused in 2010? Jeremy Todd, Director of Pershing Prime Services, discusses five trends to watch in 2010 including managed accounts, risk mitigation and potential regulation.
The Broker-Dealer of the Future May 30, 2008 Provides broker-dealers and investment professionals with insights on emerging products and industry trends that will drive the evolution of the brokerage business.
The Tone at the Top - Your Responsibility for Mitigating Risk October 27, 2009 Every day, in communities large and small, we are witnessing shocking new revelations of financial malfeasance and malpractice. This crisis goes beyond simple fraud. It represents a general breakdown in risk management.
The Broker-Dealer as Fiduciary October 26, 2009 Broker-dealers are faced with a new market reality: registered investment advisors (RIAs) are changing the landscape of the retail financial services market. Currently, there are 11,200 RIAs registered with the U. S. Securities and Exchange Commission (SEC), and more than 14,500 are registered with individual state securities commissions. Year over year for nearly a decade, the number of RIAs has increased. SEC registered investment advisors manage more than $34 trillion in client assets. Broker-dealers have a unique opportunity to grow their businesses by moving into the fee-based RIA space.
Fueling Growth: Outsourcing Solutions for Hedge Funds October 05, 2009 As market conditions and client redemption requests threaten the viability of even the most well-managed hedge funds, many fund managers are taking action by focusing on rebuilding assets and seeking a more efficient operational model with which to achieve additional capacity and improve profitability.
Long Story Short: How Hedge Fund Managers Can Get the Most Out of a Tri-Party Custody Relationship September 11, 2009 Increased concerns around counterparty risk have prompted hedge fund managers to seek out enhanced ways to mitigate their firm's counterparty risk exposure, including implementing tri-party custody arrangements. Be sure not to miss "Long Story Short: How Hedge Fund Managers Can Get the Most Out of a Tri-Party Custody Relationship," featured in the 2009 Institutional Investor Guide to Custody and Asset Servicing.
The Case for Objectives-Based Investing: Building a Defensively Oriented Portfolio September 02, 2009 Lockwood Advisors, Inc.'s (Lockwood) objectives-based approach is designed to help mitigate risk more effectively and reduce mismatch error when developing an investment portfolio to meet an investors needs. A detailed discussion of the differences between traditional and objectives-based investing is provided in a new white paper authored by Lockwood.
Lessons from 2008: Risks and Opportunities for Investment Professionals September 02, 2009 Lockwood Capital Management's message remains forward looking: what to expect from a significantly transformed environment and what investors and their advisors can do now.
Competition and Convergence: The Evolving Landscape for Hedge Funds November 06, 2009 Investment managers continue to look to diversify their business lines as they compete with hedge funds in order to create growth for their firms in the current, challenging marketplace. This new competition for assets has pushed some hedge funds into long-only investment strategies and others towards retail distribution.
Equity Management: Determining, Protecting and Maximizing Practice Value August 25, 2009 Provides broker-dealers with strategies to help their investment professionals determine the value of their individual practices, establish benchmarks to monitor and grow the value and protect the value by creating short-term continuity plans and long-term succession plans.
Risk and Reward: Emerging Industry Trends July 17, 2009 Jeremy Todd, Director of Pershing Prime Services, is featured in the 2009 Global Hedge Fund Report published by Institutional Investor News in an article discussing emerging industry trends in today's current financial environment, including the importance of strong counterparties, the tri-party account approach and use of separately managed accounts.
Practice Value: The New Frontier July 15, 2009 A step-by-step guide, that helps you to identify, value and manage the equity in a financial practice.
Financing Options for Advisor Succession July 15, 2009 Understand the mechanical elements, the choices that buyers, sellers and banks make, and how they contribute to the creation of practical financing options for the acquisition or sale of a financial services practice.
A View from the Top: Trends in Human Capital Management June 08, 2009 This independent study identifies trends in human capital management and offers critical insights into how registered investment advisory (RIA) firms can better attract, retain, and develop talented professionals. The report also provides RIAs with benchmarks against Pershing Advisor Solutions' previous human capital study with HNW, Inc., published in 2006.
Enhance Operational Efficiency For Long Term Success April 20, 2009 Learn about the operational risks facing the advisory industry and the critical role human capital plays in helping to manage these risks in Mission Possible II: The Link Between Operational Efficiency and Human Capital.
RIA Complete� Advisory Solutions For Brokers-Dealers April 15, 2009 Pershing's RIA Complete� offers a comprehensive solution to help you retain and expand your share of business�whether fee- or commission-based�without limits.
Talent Acquisition: Strategies for Competing with the Wirehouses January 20, 2009 Learn strategies and best practices to effectively compete with the wirehouses for top talent.
Risk and Reward: Hedge Funds Changing Views on Counterparty Relationships December 22, 2008 Explore hedge fund managers' changing views on counterparty relationships and the implications for global capital markets and technology. Pershing Prime Services outlines best practices that have been implemented to help addre ss and mitigate counterparty risk.
Discover Trends in Human Capital Management December 05, 2008 Identifies trends in human capital management and offers critical insights into how registered investment advisory (RIA) firms can better attract, retain and develop talented professionals. The report also provides RIAs with benchmarks against Pershing Advisor Solutions' previous human capital study with HNW, Inc., published in 2006.
Equity Management: Determining, Protecting and Maximizing Practice Value August 29, 2008 Provides broker-dealers with strategies to help their investment professionals determine the value of their individual practices, establish benchmarks to monitor and grow the value and protect the value by creating short-term continuity plans and long-term succession plans.
Real Deals 2008: Definitive Information on Mergers and Acquisitions for Advisors August 07, 2008 Provides an update to our groundbreaking 2006 study with data on the latest transactions. The study evaluates the marketplace and provides guidance on how to best take advantage of the changing mergers and acquisition environment.
Going Paperless: More Than a Green Initiative June 03, 2008 Addresses how the next generation of document management solutions can help broker-dealers reduce paper, improve client satisfaction, enhance operational efficiencies, and uncover cost savings.
The Challenges of Enterprise Portfolio Management June 03, 2008 Explores the history of portfolio management systems and the next logical step in the development of enterprise portfolio management.
Fast Forward: The Advisor of the Future May 27, 2008 Helps advisors understand the opportunities and challenges around predicting future growth, finding talent, and suggestions to capture additional market share.
Uncharted Waters: Navigating the Forces Shaping the Advisory Industry May 27, 2008 Provides independent registered investment advisors with an overview of the challenges facing the advisory industry over the next five years, and positions advisors to take advantage of these market forces to become successful "advisors of the future".
A View from the Top: Best Practices in Leveraging Human Capital May 27, 2008 Provides quantitative data to help investment advisors identify and examine best practices for attracting, hiring, and retaining key employees.
Real Deals 2006: Definitive Information on Mergers and Acquisitions for Registered Investment Advisors May 27, 2008 Examines 228 mergers and acquisitions deals completed within the advisory marketplace. The study helps advisors understand the mergers and acquisitions boom and how they may capitalize on it as a growth strategy.
Key Drivers of Financial Advisor Sales Productivity May 26, 2008 Analyzes the factors that differentiate bank brokerage firms with the highest average annual gross commissions per financial advisor.
Resource Allocation in Bank Brokerage Firms May 26, 2008 Provides an analysis of the resources that bank brokerage firms dedicate to their marketing and technology efforts.
The Race for Top Talent May 26, 2008 Uncovers the motivation behind the loyalty of investment professionals and provides best practices to attract and retain talented investment professionals.
Attributes of Best Practices Bank Brokerage Firms May 26, 2008 Examines the key factors of success for top-performing bank brokerage firms.
Dually-Registered Advisors: Opportunity Knocks May 26, 2008 Analyzes the trends that impact dually-registered advisory firms and suggests how broker-dealers can better serve this market.
Technology Best Practices in Bank Brokerage Firms May 26, 2008 Examines how firms with the highest net income differ in their technology investment strategy and how technology impacts financial advisor productivity and profit penetration.
Position Your Firm to Succeed May 20, 2008 Explore insights that can help you plan the future growth of your firm, acquire talent in spite of an acute shortage, and capture your share of the market opportunity�in Fast Forward: The Advisor of the Future.
Help Your Clients Achieve Their Philanthropic Goals May 20, 2008 Learn more about how donor-advised funds can help your clients create a lasting legacy.
Protect Your Business May 20, 2008 What is a restrictive covenant, and why is it important to understand the impact this agreement may have on your business? Often required when a registered investment advisor (RIA) joins a new firm, a restrictive covenant may be a separate document or a provision within a larger employment or confidentiality agreement.
Long-Short Portfolio Analytics May 20, 2008 Learn about best practices for aggregating and interpreting performance analytics as institutional investors look to short-enabled strategies to increase efficiency, alpha returns, and transparency.

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