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Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Current Bank & Financial Articles

BusinessWeek May 15, 2008 Jessica Silver-Greenberg	The Brewing Credit-Card Storm Regulators plan to limit credit card rate hikes and curtail fees. But do reforms go far enough?
Registered Rep. May 15, 2008 John Churchill	Merrill's New Stock Rankings Merrill Lynch announces new guidelines for its research analysts that will require them to increase the number of firms in their coverage area that they expect will fall or underperform in the coming 12 months.
The Motley Fool May 15, 2008 Morgan Housel	Presto, Change-o, Where'd the Credit Crisis Go? As the credit market surrounding residential real estate paddles through chaos, MBIA has been saddled with huge mark-to-market losses. But management tries to tell a different story in their quarterly report.
The Motley Fool May 15, 2008 Tom Hutchinson	Freddie Gets a Boost Freddie Mac's stock soars on news of capital raising.
Registered Rep. May 13, 2008 Nancy N. DiCostanzo	Citi Plan Gets Whitney Smackdown Citigroup's turnaround plan gets a big thumbs down by an Oppenheimer analyst.
Registered Rep. May 12, 2008	Taxpayers Fund Goldman Goldmine A secret deal agreed upon in 2005 guarantees Goldman Sachs will receive $321 million in taxpayer money.
Insurance & Technology April 28, 2008 Katherine Burger	I&T's 2008 Tech-Savvy CEOs Know How to Leverage IT to Flourish in Tough Economic Times According to a new survey, financial services CEOs are generally pessimistic about the prospects for the U.S. economy overall and for financial institutions in particular.
The Motley Fool May 12, 2008 Morgan Housel	The Incredible Shrinking Citigroup Citigroup's CEO wants to put the company on a $400 billion diet.
Registered Rep. May 9, 2008	The Party's Over Thursday was no fun for G. Kennedy Thompson, as the board decided it was time for him to step down as chairman at Wachovia.
Registered Rep. May 8, 2008	UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007.
BusinessWeek May 8, 2008 Henry & Goldstein	The Fires May Not Be Out The crisis appears to have passed for the U.S. financial system, but scores of companies still face default and bankruptcy.
BusinessWeek May 8, 2008 Lauren Young	A Peek at Pimco's Long View Pacific Investment Management 's co-chief investment officer and co-chief executive offers his views on the investment environment and themes Pimco may explore this year.
Registered Rep. May 5, 2008	LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.
The Motley Fool May 7, 2008 Tom Hutchinson	Legg Mason Has a Jarring Quarter The asset manager reports its first loss ever, but you shouldn't necessarily kick it to the curb.
The Motley Fool May 7, 2008 Tom Hutchinson	American Capital Misses by a Billion An accounting rule sours the financial company's otherwise strong quarter.
The Motley Fool May 7, 2008 Rich Smith	Morningstar Blazes a New Trail Some might say that Morningstar is straying from its roots -- and that's a good thing.
The Motley Fool May 7, 2008 Tom Hutchinson	Amid Losses, Fannie Mae Takes on More Risk A deteriorating balance sheet, combined with dramatically increased risk exposure, could spell disaster for Fannie Mae.
Bank Systems & Technology May 2, 2008 Maria Bruno-Britz	HSBC Opens Green North American Headquarters HSBC has opened its new earth-friendly North American headquarters in the Chicago area.
Financial Advisor May 2008	Advisor Emporium Jefferson National Offers Annuities Tool... Allianz Life Introduces Annuity Series... PowerShares ETF Listed On NYSE... etc.
Financial Advisor May 2008	Editor's Note Bear Stearns barely had been pronounced dead before the powers that be all started clucking about re-regulating the entire financial services business.
Financial Advisor May 2008	Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... etc.
Financial Advisor May 2008 Evan Simonoff	After The Storm As the mushrooming subprime loan crisis enters its tenth month, a growing list of questions begs answers.
Financial Advisor May 2008 Karen DeMasters	Serving The Underserved First Genesis has quickly become one of the largest firms in the country serving the African-American community, and it has accomplished this partially through education efforts.
Financial Advisor May 2008 Andrew Gluck	America's Financial Crisis Here are abstracts from interviews with seven leading advisors and analysts, all experienced, successful thought-leaders in the business of investment advice.
Financial Advisor May 2008 Rebecca Pomering	Adding New Owners Internal transition is the desired growth plan and succession plan for the vast majority of advisors and good planning, strategic thinking and thoughtful implementation will allow many to enact a transaction that ensures the desired outcomes for their staff, their clients and themselves.
Financial Advisor May 2008 David Lawrence	Getting The Word Out There are several ways to enhance communication with clients without necessarily increasing the workload for yourself and/or your staff.
Financial Advisor May 2008 Mary Rowland	Clinging To Intimate Relationships Mergers and acquisitions are an important discussion point in every firm's growth plans.
Financial Advisor May 2008 Mitch Anthony	Risky Business How can you accurately determine the amount of risk tolerance a client has when you're asking him to tell you how he will react to an event that hasn't happened yet?
Financial Advisor May 2008 Caren Chesler	Grieving Spouses In the end, advisors say it's not really their responsibility -- or their right -- to tell grieving clients what to do after the loss of a spouse, no matter how vulnerable they are at this time.
Financial Advisor May 2008 David J. Drucker	The Inconvenient Truth About Health Insurance Health insurance has become one more area of planning that finds itself on a growing list of risks advisors aren't adequately addressing in their clients' financial plans.
Financial Advisor May 2008 Joel Bruckenstein	Retirement Good Fortune Silver Financial Planner from MoneyTree Software is one of the top choices for advisors looking for a dedicated retirement planning tool.
Financial Advisor May 2008 Marla Brill	Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.
Financial Advisor May 2008 Tracey Longo	Living Long, Living Well A handful of insurers and advisors have been touting "longevity insurance" for several years now -- an income annuity-based product they hoped would catch fire with retirees frightened of going broke.
Financial Advisor May 2008 Kurt J. Rossi	Great Expectations Advisors must be cognizant of the fact that tuning into the emotional needs of clients is the key to helping them remain on the track to realizing their goals and dreams.
The Motley Fool May 5, 2008 Rich Smith	Before the Call: NYSE's Euro-Next Report What do the 100,000 Motley Fool CAPS investors have to say about the New York Stock Exchange shares? Read on to see.
The Motley Fool May 5, 2008 Toby Shute	7 Bunker-Like Banks There are still some well-capitalized, fortress-like banks out there. Let's take a look at a few of them.
Registered Rep. May 1, 2008 Halah Touryalai	Banc Of America Dishes Out $10 Million For Fiduciary Violations Banc of America Investment Services Inc. settles charges that it failed to disclose that it favored mutual funds affiliated with the firm.
HHMI Bulletin May 2008	In Memoriam: Richard G. Darman Richard Gordon Darman, a financial executive with a distinguished career in public service died January 25, 2008, in Washington, D.C
Advisor Today May 2008 Maggie Leyes	How to Have a Stress-Free Discussion About Fees It's time to put transparency into the process of discussing fees with your clients. These four tips will put set you on the right path.
Advisor Today May 2008 Richard Dulisse	Being There: the Five Phases of Retirement It's your job as an advisor to make sure that you are there - and active - during all these phases.
Advisor Today May 2008 Dan Allison	The Doctor Is In Conduct your prospect meetings like visits to the doctor, and you will never have to close a sale.
The Motley Fool May 2, 2008 Tom Hutchinson	Citigroup's Solution: Dilution A new stock offering raises another $4.5 billion -- at current shareholders' expense.
The Motley Fool May 2, 2008 Tom Hutchinson	This Week in Banking Many of the nation's banks are still coping with deteriorating balance sheets while the economy seems to be avoiding recession.
Registered Rep. May 1, 2008 Karen Donovan	The Clean Slate Club If a proposed new FINRA rule is adopted by the SEC, reps may find it harder to get potentially frivolous customer complaints wiped clean from their U4s.
Registered Rep. May 1, 2008	The Bear Minimum Why did wives of two senior Bear Stearns investment bankers cancel pricey interior-design contracts just two days after the firm announced its sale to J.P. Morgan?
Registered Rep. May 1, 2008	Timothy Halls A conversation with Timothy Halls, of the Moneta Group in Clayton, Missouri.
Registered Rep. May 1, 2008	Inside The Minds Of Financial Advisors A conversation with Alden Cass, a clinical psychologist who specializes in financial-services employees.
Registered Rep. May 1, 2008	Blotter The SEC charged 11 people and three companies for an alleged conspiracy that raked in $64 million from 40,000 investors.
Registered Rep. May 1, 2008	What Recession? The U.S. may in the midst of a recession, yet analysts' earnings estimates for 2008 are very rosy indeed.
Registered Rep. May 1, 2008	Roids: Not Just For Baseball Bear Stearns attempted to impose a temporary restraining order on departed broker Doug Sharon. Sharon left for Morgan Stanley on March 17 -- the day after J.P. Morgan made a deal to buy the embattled Bear Stearns. Bear's TRO was rejected by a Massachusetts court.
Registered Rep. May 1, 2008	It's Okay to Outsource The number of financial advisors who say they regularly outsource at least a portion of the portfolio-construction process more than doubled to 34 percent in 2007, up from just 14 percent in 2006.
Registered Rep. May 1, 2008	Job Toss New York City's Independent Budget Office estimates that the city could lose over 20,000 jobs in the financial sector over the next two years.
Registered Rep. May 1, 2008	Pros with Heart This year's 28th annual Outstanding Advisor Award winners could be exactly what advisors need.
Registered Rep. May 1, 2008	Comings & Goings AIG SunAmerica Retirement Markets, Inc., names western division sales manager... Fidelity's National Financial unit names executive vice president... etc.
Registered Rep. May 1, 2008 Halah Touryalai	Anywhere But Here No, you didn't want to be a financial advisor at Bear Stearns during the week of March 10. That was the week that news broke about Bear's serious liquidity problems, and the week it had to be bailed out.
Registered Rep. May 1, 2008 Alan Lavine	Variable Annuity Providers Cozy Up To RIAs "In the fee-only community, it's historically been that you literally have the `Scarlet A' if you use annuities."
Registered Rep. May 1, 2008 David Geracioti	The Auction-Rate Mess And You Many retail investors have recently learned the hard way that auction-rate securities aren't as safe as they thought.
Registered Rep. May 1, 2008 Bill Singer	The Smaller They Are, The Harder They Fall For all the day's talk about overhauling Wall Street regulation, committing to one simple step would go a long way: a guarantee of equal justice for all.
Registered Rep. May 1, 2008 Mindy Diamond	The Branch Manager Switch In today's turbulent markets, many financial advisors may want to give up a book of business and graduate to management, but that position also isn't as risk-free as they may think.
Registered Rep. May 1, 2008 Anne Field	Hiring Good Help A panel of experts gives advice on hiring the right new employees to grow your firm.
CFO May 1, 2008 Alix Stuart	All in the Families The SEC is aiming to sniff out improper relationships, including insider trading, between hedge funds and the companies they invest in.
The Motley Fool May 1, 2008 Saibal Saha	HDFC Bank Boasts Quantity and Quality India's HDFC Bank keeps blowing away its skeptics with successive years of high-octane, high-quality growth.
Registered Rep. April 30, 2008	FINRA Fines American Funds FINRA spanked the fund giant for "directed brokerage," a now-banned practice of directing trades to the trading desks of top-selling brokerages.
The Motley Fool April 30, 2008 Tom Hutchinson	MasterCard Dazzles MasterCard reports an absolute blowout quarter in the midst of a miserable economy.
The Motley Fool April 30, 2008 Rich Smith	TheStreet.com Gets Its Zipper Stuck What went wrong on TheStreet with their earnings this quarter?
Registered Rep. April 29, 2008	Citi Hedge Fund Blow Up Hurts Clients--And Sends Advisors Packing While Smith Barney tries its darnedest to hold on to the money of its wealthy clients, it's also having a hard time keeping some of its best brokers.
Financial Planning May 1, 2008 Elizabeth O'Brien	Going Global Now While the initial impact of the credit crunch hit fixed-income markets the hardest, the longer-term effects have extended into world equity markets in the form of a substantial correction.
Financial Planning May 1, 2008 Mark Willoughby	Volatility Bites For those who had begun to underestimate the impact volatility can have on managing investment portfolios, the events of 2007 and early 2008 have been a sobering reminder.
Financial Planning May 1, 2008 Stacy Schultz	4 Questions A conversation with Scott Spiker, CEO of First Command, a registered independent advisor serving clients with an average income of $50,000.
Financial Planning May 1, 2008 John J. Bowen	The Right Ally Forming strategic alliances with the right professional advisors -- such as CPAs and attorneys -- is one of the best avenues for advisors to acquire additional high-net-worth investors.
Financial Planning May 1, 2008 Glenn G. Kautt	Career Choices Much has been written about how it will be more difficult and expensive to find and retain talented people for the financial planning industry. A financial planner discusses how he handles recruiting and hiring in his firm.
Financial Planning May 1, 2008 Joel Bruckenstein	Paint Me a Picture It's hard for the average client to visualize most financial concepts, and many of the charts and graphs available leave much to be desired. Read on for some software solutions to take your graphics to the next level.
Financial Planning May 1, 2008 Dave Lindorff	E & Oh, No Errors and omissions insurance is the must-have policy for financial professionals. But many planners don't have it because of a combination of cost and coverage problems.
Financial Planning May 1, 2008 Ray Sclafani	To Each His Own For many advisors, teaming up with a coach just makes sense -- and dollars.
Financial Planning May 1, 2008 Terrance J. O'Hara	The Reality of Being Done Being Done is defined as the point at which your practice has evolved to a stage that you serve a finite number of clients and no longer have to spend time marketing yourself. Are you Done?
Financial Planning May 1, 2008 Ed Slott	Time To Convert? If your client wants to convert employer plan funds directly to a Roth IRA, there are some new Internal Revenue Service rules you should be aware of.
Financial Planning May 1, 2008 Jeanne Lee	Protection Money Financial planners can cement their position as trusted advisors to small business owners by starting conversations about succession plans that provide a legacy for their families.
Financial Planning May 1, 2008 Blake Moore	Green Attitude Research shows that clients want to put their green into companies that are developing products and services for a greener world, and they want financial advisors to guide them.
Financial Planning May 1, 2008 Elizabeth O'Brien	Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.
Financial Planning May 1, 2008 Stacy Schultz	Client Loyalty The most common reason affluent investors leave their financial advisors is because their advisor does not answer their calls, according to a new report.
Financial Planning May 1, 2008 Stacy Schultz	People on the Move Brian Popes joins Cambridge Investment Research as regional vice president of practice management... Fred Alger Management hires H. James Blakeslee as senior VP and director of national accounts... etc.
Financial Planning May 1, 2008 Stacy Schultz	Need for Education A preview of the 2008 Rydex AdvisorBenchmarking Study, a snapshot of the financial advisory business.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
Financial Planning May 1, 2008 Bryce Sanders	Client Retention How to keep unhappy clients from leaving.
Financial Planning May 1, 2008	Industry Event Calendar Upcoming conference listings of interest to financial planners
Financial Planning May 1, 2008 Andrew Ackerman	Muni EMMA The Municipal Securities Rulemaking Board launched a pilot version of EMMA, a free, centralized online portal that will eventually provide investors with real-time disclosure and price information on municipal securities.
Financial Planning May 1, 2008	Best and Brightest Founder and CEO of CEG Worldwide shows you how to benchmark your performance against the advisory community... Stay on top of the major issues in the financial advising with Bob Veres column... etc.
The Motley Fool April 29, 2008 Tom Hutchinson	Visa Beats the Street and Sells Down Visa posted great numbers in a miserable economy and beat Wall Street's expectations. Naturally, the stock fell.
Bank Systems & Technology April 28, 2008 Maria Bruno-Britz	Analytics Are Becoming Increasingly Important Tools in Banks' Customer Retention Strategies Predictive analytics tools are helping banks understand customers' behaviors and meet their unique needs with tailored products and services, improving customer retention as a result.
Bank Systems & Technology April 28, 2008 Maria Bruno-Britz	Keys to Improving Customer Retention Banks can enhance loyalty by keeping the customers' experience the center of their business.
Bank Systems & Technology April 28, 2008 Lisa Valentine	The Bank of New York Mellon Integrates Legacy Systems to Offer Customers Only the Best Following the merger of The Bank of New York and Mellon Financial, cohead of treasury services integration efforts Al Briand forges a best-of-breed and technology portfolio while continuing to provide Treasury Services customers with innovative new products.
Bank Systems & Technology April 28, 2008 Sherree DeCovny	JPMorgan Chase Extends Treasury & Securities Services in Latin America Responding to Latin America's expanding economy and growing export business, New York-based JPMorgan Chase has restructured its Treasury & Securities Services franchise to place an increased emphasis on the region.
Bank Systems & Technology April 28, 2008 Maria Bruno-Britz	Banks Prove Top Performers in Call Center Study Banks are tops when it comes to their call centers, according to a new study.
Bank Systems & Technology April 28, 2008 Nancy Feig	Banks Told to Prep for New International ACH Rules The NACHA rule and format for international ACH transactions presents both opportunities and challenges for banks.
Bank Systems & Technology April 28, 2008 Peggy Bresnick Kendler	AML Efforts Intensify As banks look to step up efforts to monitor their customers' financial activities and comply with increasingly stringent regulations, what kinds of technologies, processes and information are essential to building an effective and accurate AML program?
Bank Systems & Technology April 28, 2008 Paul L. Lee	Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts.
Bank Systems & Technology April 28, 2008 Robert Binney	Shrewd Leveraging of Technology and Staff Key to Achieving Cost-Effective AML Compliance It is critically important for banks to use effective technology, streamline their investigations processes, automate workflows and enhance staff training.
Bank Systems & Technology April 28, 2008 Fredda Ackerman	Data Warehouses Permit a Holistic View of Customers' Activities Financial firms must develop a risk assessment system that provides institutions with an assessment of a customer's risk for money laundering.
Bank Systems & Technology April 28, 2008 Maria Bruno-Britz	IDB Bank Taps Robert Plante to Drive Information Systems Strategy When IDB Bank needed to find a CIO it landed an industry-recognized technology leader to head its IT operations: banking veteran Robert Plante.
Bank Systems & Technology April 25, 2008 Nancy Feig	Enterprise Payments Architectures Are Gaining Ground at Banks The aim of an enterprise payments architecture is to leverage technologies and services across the payments business and throughout the entire organization.
Bank Systems & Technology April 25, 2008 Paula Damiano	Cash Management Business on the Upswing -- But for How Long? Amid the credit crunch and recession fears, banks may find a bright spot: cash management.
Bank Systems & Technology April 25, 2008 Lisa Valentine	Banks Need Unified Approach to IT Risk Management Global financial firms recognize the need to improve the alignment of IT risk management with the rest of the organization, according to a new report.
Bank Systems & Technology April 25, 2008 Gregory J. Calpakis	Knowledgeable Personnel and Flexible AML/CFT Programs Are Banks' First, Best Line of Defense The most important aspect of an effective program for anti-money laundering and combating the financing of terrorism is people. It is critical for an organization to have staff who are knowledgeable and experienced and continuously receive training.
Bank Systems & Technology April 24, 2008 Anne Rawland Gabriel	MCNB Banks Unlocks the Potential of Electronic Check Capture Realizing the promise of electronic check capture required visionary thinking on the part of Welch, W.Va.-based MCNB Banks.
Bank Systems & Technology April 24, 2008 Vicki Gerson	BB&T Improves Online Training With EEDO's ForceTen LCMS Employees reap the benefits of BB&T University's new, easy-to-use Learning Content Management System.
Bank Systems & Technology April 24, 2008 Maria Bruno-Britz	Barclaycard's New Managing Director Tom Karinshak Stays Focused on His Customer Tom Karinshak recently joined Barclaycard US as managing director, customer care and bank operations.
Bank Systems & Technology April 23, 2008 Maria Bruno-Britz	FSTC Operational Resiliency Project Reaches Next Phase The Financial Services Technology Consortium operational resiliency benchmarking project offers banks objective measures of preparedness.
Bank Systems & Technology April 19, 2008 Paula Damiano	HID Global and Dynamic Card Solutions Launch CardWizard Financial Card Printing System Irvine, Calif.-based HID Global and Englewood, Colo.-based Dynamic Card Solutions have jointly launched the CardWizard FCP 20/20 financial card printing system for on-site instant issuance of debit, credit and prepaid cards.
Bank Systems & Technology April 19, 2008 Paula Damiano	Sterling Savings Rolls Out FSB Solutions' Teller Deposit Automation Image-Capture Solution All 178 branches of Spokane, Wash.-based Sterling Savings Bank now feature West Hills, Calif.-based Full-Service Banking Solutions' front-counter Teller Deposit Automation solution.
Bank Systems & Technology April 18, 2008 Paula Damiano	Chesapeake System Solutions Hosts IDM Data-Collection Service IDM Service claims to ensure confidentiality while providing multibank information reporting to corporate customers.
Bank Systems & Technology April 17, 2008 Paula Damiano	Fiserv Streamlines Dispute Resolution With New Version of CheckFree Fiserv's newest version of CheckFree Adjustments/Express provides a single-solution module for processing check and electronic payment disputes.
Bank Technology News May 1, 2008 Michael Grebb	The War to Keep Compliance Talent Financial institutions wade through an ever-deepening regulatory swamp, and therefore an escalating war for compliance talent.
Bank Technology News May 1, 2008 Michael Sisk	Governance, Risk and Compliance Budgets March Higher A recent survey finds that governance, risk management and compliance budgets at financial institutions will rise an average of 10.3 percent this year.
Bank Technology News May 1, 2008 Avid Modjtabai	The Intersection of Compliance and Risk Management As businesses develop risk-management initiatives, they should keep the following points in mind.
Bank Technology News May 1, 2008 Glen Fest	Can You See me Now? Life-Like Telepresence The "telepresence" video conferencing system Wachovia installed for cross-country internal management meetings is so cutting edge -- and so expensive -- it's insulting to call it video conferencing.
Bank Technology News May 1, 2008	Discovering The Future Of Banking MIT's Center for Future Banking explores how banking behavior will change in the future.
Bank Technology News May 1, 2008 Glen Fest	Protecting Core Systems Online backup services provide banks with real-time data backup at a dozen distant locations.
Bank Technology News May 1, 2008 Rebecca Sausner	Homeland Security: Manhattan Project for Cyber Sec The federal government has begun to offer details on an expensive, and targeted, defensive cyber-security plan to protect our nation's financial markets.
Bank Technology News May 1, 2008 John Adams	Better Processing: An Exercise In Utility Banks beset with budget and cost-saving mandates may soon find that sharing is saving.
Bank Technology News May 1, 2008 Glen Fest	REO: Banks Ponder: To Sell or Not to Sell? As foreclosures rise, bank by bank, the real-estate owned portfolio news is anywhere from sickly to critical.
Bank Technology News May 1, 2008 Anthony Malakian	Turns Out, If You Build It They'll Stop Coming Lowered branch transaction volume may not have been the intended result of a successful remote-deposit capture campaign, but that is exactly what's happening.
Bank Technology News May 1, 2008 Glen Fest	The Cost of Paper and Pens Really Adds Up Banks' need for expense management is building as the credit crisis for financial institutions festers.
Bank Technology News May 2008	Rethinking Rewards in Tough Times One way credit-card issuers can manage their own exposure to financially stressed consumers is to redesign rewards programs to encourage good credit behavior and focus less on luxury giveaways.
Smart Money May 2008 Anne Kadet	Banks Are Latest Industry to Try Optimized Pricing Does the airline pricing system drive you crazy? Banks are now trying something similar.
U.S. Banker May 2008 John Engen	House of CARDS Few financial institutions have been left more imperiled by the subprime market fallout and liquidity and credit crunches than WaMu.
U.S. Banker May 2008 Holly Sraeel et al.	Playing Both Ends Against the Middle There are plenty of mid-tier banks and thrifts posting respectable performances.
U.S. Banker May 2008 Joseph Rosta	Moral Hazard? A Greater Hazard Lurks. Not getting regulations correct after today's crisis would be the true moral hazard.
U.S. Banker May 2008 Anthony Malakian	Banks are Failing -- But It's Nothing Like the Old Days Today's bank failures have nothing on the savings-and-loan crisis of the 1980s and early 1990s.
U.S. Banker May 2008 Anthony Malakian	Extended Hours: Longer Hours Correlate To Higher Deposit Growth The term "bankers' hours" has a negative connotation and is an outdated insult at an industry where many institutions have 70-hour work weeks.
U.S. Banker May 2008 Joseph Rosta	JPMorgan's Big Score: Prime Brokerage Business JPMorgan has established itself as a major prime brokerage player.
U.S. Banker May 2008 Karen Krebsbach	SEC Allows Shareholder Vote On Equator Principles Proposal Shareholders of Citi and Bank of America have a right to know the green-washing policies of the banks' lending policies, the Securities and Exchange Commission says.
U.S. Banker May 2008	Hits and Has-Beens Teresa A. Dial has been appointed CEO of Citi Consumer Banking in North America and head of international retail banking strategy... Alvaro de Molina, is GMAC's new CEO... Countrywide Financial's former president has opened Private National Mortgage Acceptance Co... etc.
U.S. Banker May 2008 Greg Goth	Energy Conservation: How Green Is Green? The green movement is gaining momentum in some corners of the financial industry.
U.S. Banker May 2008 Karen Krebsbach	Plan Draws Lukewarm Response The Treasury Department's proposal to reorganize regulation of the financial-services marketplace drew mixed reviews.
U.S. Banker May 2008 Rebecca Sausner	When Banks Thrive, Clients Should Know At a time when many bank heads are keeping their heads down and avoiding the press after several dismal quarters, Hudson City and other thriving institutions are ensuring that customers, prospects and investors are hearing their good news.
U.S. Banker May 2008	HSBC Trots the Globe To Pursue Mass Affluent In its latest airport display ads, HSBC takes a lot of latitude, both figuratively and literally.
U.S. Banker May 2008 Anthony Malakian	Creating a Haven of Comfort For the Rich to Do Business The mass affluent expect a branch to be as progressively designed as their home.
U.S. Banker May 2008 Anthony Malakian	Seeing Where and When To Snag Future Retirees The long-term benefits to banks of landing and managing this business - even the tiniest of small businesses - can be enormous.
U.S. Banker May 2008	As the Credit Crisis Grinds On, Lending Falls Off the Cliff The current climate for loan production might not be Great Depression 2.0, but try telling that to someone with less than perfect credit.
U.S. Banker May 2008 Beth Horowitz	What Have You Done For Me Lately? The challenge that retail bankers, credit-card issuers, merchants and payments-network officials face is creating a long-term relationship with a savvy consumer who is increasingly willing to switch institutional loyalties.
U.S. Banker May 2008 Anthony Malakian	The Best Modern Advice Harkens from the Past Returning private banking back to the old model is really resonating with clients.
Registered Rep. April 21, 2008	BofA Earnings Tank, Retail Brokerage Steady Bank of America's whopping drop in first quarter net income was the result of $1.9 billion in write-downs for the quarter.
Bank Systems & Technology April 18, 2008 Maria Bruno-Britz	news/internet/google The development of a fraud taxonomy model can become an important tool in promoting financial institution collaboration in the war on fraud.
Investment Advisor May 2008	Whither Client Loyalty? Are you certain that your clients will follow you where'er you roam? According to new research by Spectrem Group, clients may not be as steadfast as Mary's little lamb.
Investment Advisor May 2008	Changes New York Life announces president, CEO of investment management arm... Raymond James Financial adds senior managing director of equity trading... Federal Reserve of St. Louis appoints president, CEO... etc.
Investment Advisor May 2008 Mark Tibergien	Time of Reckoning In volatile times, the reality of practice valuations is exposed.
Investment Advisor May 2008 Bob Clark	Building Healthy Online Relationships Gluck's new product moves advisor/client relationships onto the Web
Investment Advisor May 2008 Olivia Mellan	Quittin' Time? How a financial advisor should respond to various situations faced by clients contemplating retirement: Fear of boredom... Couple with conflicting retirement dreams... Couple with a large age difference... Need to support parents... etc.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor May 2008 Kara P. Stapleton	Ahead of the Game Bank of America research provides statistics on the affluent's retirement planning, and finds that most are on track.
Investment Advisor May 2008	News & Products, May 2008 AXA launched a new variable annuity called Crossings: My Lifetime IRA... Phoenix Companies and LCM introduced Guaranteed Retirement Income Solutions... Wired for Health Care Quality Act...
Investment Advisor May 2008 Elizabeth D. Festa	Making Volatility a Retiree's Friend J. Michael Martin of Financial Advantage shares his strategy for managing risk, which is important for retirees because they have a shorter time horizon and are not putting new money in.
Investment Advisor May 2008 Savita Iyer-Ahrestani	DIY Clearing, Made Easy Fidelity's National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
Bank Systems & Technology April 21, 2008 Maria Bruno-Britz	Fiserv to Help Banks In Check 21 Transition Financial institutions can be helped to bridge the gap between the legacy world of paper checks and the mass migration toward electronic delivery of check images.
Bank Systems & Technology April 15, 2008 Maria Bruno-Britz	NACHA's EBIDS Program Goes Live EBIDS or electronic billing information delivery service is designed to enable the transmission of consumers' electronic bills to the online provider of their choice.
Investment Advisor May 2008 Timothy Noonan	Retirement Risk Redefined Boomers will face a new/old risk: that they may outlive their money. What's an advisor to do?
Investment Advisor May 2008 Marlene Y. Satter	Recovery Room If your clients have to surrender a settlement to reimburse their insurer or employer, will their assets support their needs?
Investment Advisor May 2008 Susan L. Hirshman	Changes in Charitable Compliance Revised not-for-profit tax reporting offers opportunities for advisors.
Investment Advisor May 2008 Angela Herbers	Stepping Up Difficult economic times like these require advisors to address the concerns of their staffs.
Investment Advisor May 2008	It's All Personal What sets independent advisors apart is the personal advice they give to their clients.
Investment Advisor May 2008 Kathleen M. McBride	What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise.
Investment Advisor May 2008 James J. Green	How's It Playing in Peoria? Several recent measures of advisor and client sentiments portray a significant lack of confidence in both the current state and the near-term outlook for the markets and the economy.
Investment Advisor May 2008 Melanie Waddell	Introducing the Wealthy to Roth IRAs Advisors take heed: The income limit on participants in Roth IRAs disappears in 2010.
Investment Advisor May 2008 Mark Johannessen	Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change.
Wall Street & Technology April 22, 2008 Ivy Schmerken	Buy Side Seeks Independent Valuation Providers for OTC Derivatives After Credit Crisis With the credit markets in turmoil over OTC derivatives valuations, buy-side firms are tapping vendors to avoid the conflict of interest inherent in broker-determined prices.
Wall Street & Technology April 18, 2008 Melanie Rodier	Financial Institutions Evaluate Biometrics While financial institutions aren't yet ready for consumer-facing biometrics deployments, these technologies are gaining popularity for behind-the-scenes authentication.
Wall Street & Technology April 18, 2008	Cathryn Lyall Joins ICAP; Newedge Taps Michael Bailey; William Buble joins Trade Settlement; Deloitte Hires Richard Whalen The latest hirings at ICAP, Newedge, Trade Settlement and Deloitte.
Wall Street & Technology April 17, 2008 Penny Crosman	Merrill Lynch Speeds Up Application Development Merrill Lynch developers are turning Microsoft's Windows Workflow Foundation framework into a customized platform for rapid application development.
Wall Street & Technology April 17, 2008 Melanie Rodier	TABB Hires Former Amex Executive Miranda Mizen TABB Group appointed Miranda Mizen, who most recently was SVP of transaction services at the American Stock Exchange, as a senior consultant.
Wall Street & Technology April 15, 2008 Penny Crosman	Wall Street Project Management Offices Focus on Derivatives The latest trend and challenge for Wall Street's project management offices is the need to push through derivatives automation projects.
Wall Street & Technology April 15, 2008 Penny Crosman	What Is a Project Management Office? The basics of project management offices on Wall Street.
Wall Street & Technology April 15, 2008 Cory Levine	Quod Releases Solution for Buy-Side Execution Management Advanced Smart-Order Router uses the algorithms in Quod's sell-side solution to bring new levels of routing capabilities to the buy side, the vendor says.
Wall Street & Technology April 15, 2008 Cory Levine	Scivantage Automates Mutual Fund Account Openings With the integration of Scivantage's Automated Account Opening application and DST Systems' Web Services interface, broker-dealers will be able to offer primary and multicustodial brokerage and direct-to-fund account opening from one system.
Wall Street & Technology April 15, 2008 Cristina McEachern	Rosenblatt Securities Expands NYSE Floor Operations With Gordon Charlop Appointment Bucking the trend of shrinking exchange floor operations, Rosenblatt Securities appointed Gordon Charlop as managing director and head of the firm's New York Stock Exchange operations.
Wall Street & Technology April 14, 2008 Larry Tabb	Opportunities Beckon Amid Economic Turmoil A shaky economy and the defibrillation of many fixed-income products provide fertile ground for automated trading, fixed-income ECNs and exchanges - as well as opportunities for those willing to take some calculated risk.
Wall Street & Technology April 14, 2008 Cory Levine	Gartner Offers Financial Institutions Tips to Broaden Client Relationships By helping customers better manage their finances with access to external data, financial institutions can broaden their customer relationships and meet some of their own short-term cost and revenue challenges.
Wall Street & Technology April 14, 2008 Melanie Rodier	Advisers Turn to Asset Managers for Advice During Economic Slump Nearly all financial advisers say the ability of a fund company wholesaler to deliver an informed opinion impacts their transaction decisions.
Wall Street & Technology April 11, 2008 Ivy Schmerken	Putnam Investments Sees Competitive Advantage in Building OTC Derivatives Pricing Engine In-House To verify prices from brokers and other outside sources, Putnam Investments developed an internal OTC derivatives valuation engine using grid computing.
Wall Street & Technology April 11, 2008 Melanie Rodier	Is Wall Street Ready for the iPhone? Apple has addressed some of the security and connectivity concerns that had prevented the iPhone's adoption by corporate users. But with capital markets firms already exploring applications that can be easily implemented on BlackBerrys, will the iPhone be able to catch up?
Wall Street & Technology April 11, 2008 Cory Levine	Hedge Funds Say Technology Is Critical to Business Hedge funds are focusing their technology efforts on improving automation around OTC derivatives, as well as adding collateral management technology and exerting better control over prime brokerage charges and rates, according to a new Aite survey.
Wall Street & Technology April 11, 2008 Cory Levine	Options Traders Lack TCA Tools The structure of the options market has prevented the adoption of transaction cost analysis tools that are now commonplace in equity trading, according to TABB Group.
Wall Street & Technology April 11, 2008 Cory Levine	Electronic Trading Drives FX Market Growth The industry conversion to electronic trading is happening even faster than expected: Research from CME Group predicts that by 2010 more than 80 percent of all cash business will be executed electronically.
Wall Street & Technology April 11, 2008 Cory Levine	Direct Market Access to Continue Steady Growth Celent estimates that 15 percent to 18 percent of current U.S. equities flow goes through direct market access pipes, a number that is expected to increase to 20 percent by 2010.
Bank Systems & Technology April 11, 2008 Maria Bruno-Britz	BB&T Joins Supply Chain Forum Branch Banking & Trust Company SupplyChain360 has joined the Supply Chain Strategy and Management Forum at the University of Tennessee to address critical supply chain issues affecting value and profitability.
Bank Director 2nd Quarter 2008 Jack Milligan	A Board for Tough Times You probably thought being a bank director was already pretty challenging, but hang onto your hats, because a looming recession is going to make the job even tougher.
Bank Director 2nd Quarter 2008 L. William Seidman	Today's Crisis: It's Not the S&L Crisis Again This is not the same situation we had with the failures of the S&L industry in the late 1980s. We now have a mess that is far more convoluted and very difficult to fix.
Bank Director 2nd Quarter 2008	For Your Review The Rising Cost of Liability Protection... Board-Shareholder Communication is the Next Governance Frontier... Bank Insurance Brokerage Fee Income Hits Near Record Levels...
Bank Director 2nd Quarter 2008 Deborah Scally	Red Sky Morning: What's Ahead for Banking? The results of Grant Thornton's 15th Bank Executive Survey dramatically illustrate what bankers think about navigating the year ahead.
Bank Director 2nd Quarter 2008 John R. Engen	Keeping It Simple In his first year as CEO of giant BNY Mellon Corp., Robert Kelly is proving that doing a couple of complementary things globally - and extremely well - can generate top-flight performance.
Bank Director 2nd Quarter 2008 John R. Engen	The Economy's Shifting Sands Banks will need to watch their footing and aim for solid ground as they march forward in a landscape that features eroding real estate and asset-quality values at every turn.
Bank Director 2nd Quarter 2008 Paul Sweeney	Targeting Online Risk Financial institutions today have enormous challenges with data security. Even so, they must continue to maintain a diligent battle against an army of online gremlins.
Bank Director 2nd Quarter 2008 Gary Crum	Pandemic Planning: Keeping the Bank Off the Critical List Regulatory agencies now require banks to integrate a pandemic emergency plan throughout the organization. Here is some guidance to make sure your bank is a survivor.
Investment Advisor May 2008 James J. Green	Watch List Mark Tibergien, the consultant and now executive who taught advisors to think of their practices as businesses, tops the Independent Advisor list of 25 people to watch in 2008.
Investment Advisor May 2008 McBride & Waddell	Seismic Shift The Treasury Secretary floats a regulatory plan that -- if implemented -- will change the financial services world as we know it.
Investment Advisor May 2008 Robert F. Keane	Tangible Diversification For his clients' stock and bond portfolios, Larry Nakamura is as passive as they come, but when it comes to real estate, that's another story entirely.
Registered Rep. April 18, 2008	Merrill: An Able Foil to Bear? Merrill Lynch's streak continues -- a third quarter in a row that the firm has reported a loss.
Registered Rep. April 16, 2008	Former Gunnallen Broker Accused of a Ponzi Seven investors who say they were the victims of a Ponzi scheme by a former GunnAllen rep have filed an arbitration claim against the Tampa firm.
Bank Systems & Technology April 10, 2008 Maria Bruno-Britz	NCR ATMs Complete Certification with Partners NCR has completed the certification testing of its new line of ATMs, the SelfServ model with strategic switch partners ACI Worldwide, Postilion, a division of S1 and Fidelity National Information Systems.
Registered Rep. April 15, 2008	Bear's Q1 Earnings Bad, But Retail Did Well Bear Stearns can't seem to go down quietly.
Registered Rep. April 9, 2008	Brookstreet Broker Cliff Popper Suing NFS for $36 Million According to Popper's attorney, NFS is to blame for the collapse of Brookstreet, and the subsequent disintegration of Popper's roughly $1 billion client portfolio.