Bank & Financial

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

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Registered Rep. November 1, 2005 Brett Lancaster	Wringing the Risk Out of Corporate Actions The vice president of Global Corporate Actions, The Depository Trust & Clearing Corporation (DTCC) asserts that the global financial services industry recognizes the need to bring greater harmony and reduced risk to corporate actions processing, which will also advance the goal of straight-through processing.
Registered Rep. November 1, 2005 Anne Field	Changing Gears Three experts give advice on how to help an insurance industry veteran who recently embarked on a push to expand his financial-planning practice.
Registered Rep. November 1, 2005	Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc.
Registered Rep. November 1, 2005 Daniels, Leibell & Prince	A Plan for All Seasons A buy-sell agreement is an important component of a business owner's estate plan, but unless it is properly drafted and tailored to the particular circumstances, it can do more harm than good.
Registered Rep. November 1, 2005 Bill Singer	You Have to Ask The current hard-line posture of securities regulators might leave advisors with the impression that there is little room for negotiation these days. To the contrary, a recent NYSE ruling suggests the regulators are more flexible.
Registered Rep. November 1, 2005 Mindy Diamond	In Good Company There's a trend brewing among brokers with nascent high-net-worth books. Increasingly, these reps are not interested in making a lateral move to a wirehouse, preferring instead to hold out for a position at a firm whose brand resonates with the ultra-wealthy.
Registered Rep. November 1, 2005 Matt Oechsli	Successful Prospecting Habits Current research clearly states that affluent Americans are searching for a trusted "go-to" financial coordinator, but they do not know where to look or whom to trust. Here's what advisers can do to win these sought-after clients over.
Registered Rep. November 1, 2005 Grove & Prince	Elusive Loyalty It's a serious conundrum for financial advisors: Their success hinges on their ability to cultivate loyalty in their most affluent clients, but many are having a tough time building that loyalty. But financial advisors can learn the skills that promote client loyalty.
Registered Rep. November 1, 2005 Kevin McKinley	Doing the Family a Favor When you suggest to your recently retired clients that they consider moving money from an IRA to a Roth IRA, you may not want to highlight the fact that this year's check to the IRS is going to be a bit bigger than expected.
BusinessWeek November 14, 2005 Christopher Palmeri	Debt Collection Puts On A Suit As consumer loans hit an all-time high, the industry gets more sophisticated.
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