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Registered Rep.
June 2, 2003
Ross Tucker |
Alone Together National Financial Partners (NFP), the national distribution network of independent registered investment advisors, is set to go public imminently.   |
Registered Rep.
May 30, 2003
David A. Gaffen |
The New Smith Barney CEO Sallie Krawcheck was recruited to restore the credibility of Smith Barney and lead the business through its toughest slump in a generation. Krawcheck wants Smith Barney advisors to more than double their average annual production to $1 million. |
Registered Rep.
May 30, 2003
Will Leitch |
Royal Alliance to Wirehouses: You're Dead Meat If the Royal Alliance National Education Conference is any indication, independents are thinking one thing: The time to strike at the wirehouses is now. |
OCC Bulletin
May 29, 2003 |
Application of Recent Corporate Governance Initiatives to Non-Public Banking Organizations A response to questions the agencies have received concerning whether they intend to require banking organizations to comply with the provisions of the Sarbanes-Oxley Act or the proposed NYSE and NASDAQ listing standards if the banking organizations are not public companies or otherwise subject to the provisions through other laws. |
Registered Rep.
May 28, 2003
Ross Tucker |
A Greater Hand For Advisors In 401(k) Business Pending legislation could clear the way for advisors with 401(k) business to sell financial advice to plan participants. |
Bank Systems & Technology
May 27, 2003
Steven Marlin |
Fiserv and SVPCo To Exchange Images Fiserv and SVPCo have agreed to establish system connectivity to allow for electronic exchange of check data and images. |
OCC Bulletin
May 22, 2003 |
Prohibition Against Interstate Deposit Production The Federal Reserve Board, the Office of the Comptroller of the Currency, and the FDIC recently issued updated host-state loan-to-deposit ratios used to determine compliance with section 109 of the Riegle-Neal Interstate Banking and Branching Efficiency Act of 1994. |
OCC Bulletin
May 21, 2003 |
FFIEC Information Technology Examination Handbook The Federal Financial Institutions Examination Council has issued updated guidance in two booklets, one on business continuity planning (BCP), and the other on FFIEC supervision of technology service providers. |
OCC Bulletin
May 20, 2003 |
Bank Secrecy Act/Anti-Money Laundering Revocation of Designation of Ukraine as Primary Money- Laundering Concern... Proposed Rule Imposing Special Measures Against the Country of Nauru |
Registered Rep.
May 20, 2003
Ross Tucker |
Waddell and ING Rift Deepens Over Advisor Defections The defection of over 30 Waddell & Reed advisors in the New York and Connecticut region to Washington Square Securities (WSSI), an ING affiliate, has driven a wedge between the firms. |
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