A new guidebook advocates a manageable, incremental approach to broadening and deepening usage of this important technology by independent registered investment advisors.
Broker-dealers face an increasingly challenging regulatory environment, especially as it relates to sales supervision. Yet, many firms do not have adequate supervisory technologies. As a result, they expose themselves to significant risk of regulatory action.
Elections and Economies: The Limits of Power in the Age of Deleveraging, examines the potential impact upcoming global elections may have on markets and fiscal policy. Authored by senior economists at Roubini Global Economics, this independent study also explores the trend of deleveraging as a response to the current political and financial environment.
Learn how broker-dealers address sales practice oversight. To help firms prepare for these imminent changes in compliance oversight requirements, Albridge studied more than 70 broker-dealers' surveillance practices.
The Compliance Corner is your one-stop destination for most basic compliance and regulatory information.
Authored by senior analysts at Roubini Global Economics and available exclusively through Pershing, this provocative analysis puts today's events into the broader context of long-standing global imbalances.
For hedge funds, technology is undergoing a dramatic transformationfrom basic infrastructure to a competitive differentiator. New tools are helping managers attract investors with stable, scalable processes even as they implement increasingly complex strategies.
Do U.S. states and Eurozone nations present similar risks? Are their debt and deficit levels sustainableand for how long? How do recent political events shade the forecasts for each market?
Dually registered advisors are the fastest growing segment in advisory services. The hybrid model represents an opportunity for broker-dealers to grow and compete in the next decade and beyond.
Provides registered investment advisor (RIA) firms with in-depth research and guidance on how they can expand by establishing or acquiring offices in different markets.