Bank & Financial

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

Old Articles: <Older 761-770 Newer>

Bank Technology News March 2003 Holly Sraeel	AML Tech Can Spot Patterns, Detect Odd Behavior Anti-money laundering technology is arming institutions with better tools to fight what the electronic age has made an even more difficult task, particularly with the anonymity of financial clearing and settlement systems and the ability to execute transactions in real time.
OCC Bulletin March 17, 2003	Interagency Policy Statement on Internal Audit and Internal Audit Outsourcing Revised guidance on internal audit and its outsourcing
Registered Rep. March 17, 2003 Will Leitch	Unfair Disclosure For The Broker? In a little-publicized move, the NASD has formed a Public Information Review Initiative, which would radically expand investors' access to information about brokers.
Registered Rep. March 1, 2003 Sam Jaffe	Coaching in a Storm We spoke to dozens of the best branch office managers, from managers of tiny regional shops to lords of sprawling city offices. Their secret to success doesn't sound all that tough: work hard and pay attention to details.
Registered Rep. March 1, 2003	Move Over Henry Higgins "Would the world ever have been made if its maker had been afraid of making trouble?" These words come from Henry Higgins in George Bernard Shaw's Pygmalion, but they give voice to a central challenge in managing a brokerage branch.
Registered Rep. March 1, 2003 Andre Cappon	Okay, Team, Listen Up! Whether some reps like to acknowledge it, the branch office manager is vital to the success of a given branch.
Registered Rep. March 1, 2003	Benefiting from Diversity If you haven't already, you might want to consider expanding your client base -- demographically speaking, that is. According to a study, the purchasing power of minorities, along with their disposition towards investment, will increase dramatically in the next four years, to $1.3 trillion.
Registered Rep. March 1, 2003 Will Leitch	CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial.
Registered Rep. March 1, 2003 Will Leitch	Doing the NASD After waiting more than a year for face time with the NASD, a dissident group finally got the opportunity to air its grievances. Problem is, now it's required to keep quiet about the meeting.
Registered Rep. March 1, 2003 Ross Tucker	Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment.
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