Pershing and Fred Reish provide advisors with a map to help navigate the evolving regulatory landscape pertaining to rollovers.
Created for chief compliance officers to share with their senior executives and annuity operations contacts regarding the compliance advantages of an electronic annuity order entry system.
For Independent Registered Investment Advisors: Creating Growth Through Optimal Usage of a CRM System
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?