by Patrick M. Kelly | Nov 30, 2011 | Financial Services Industry, Wall Street
While other banks are under pressure to cut their dividends, UBS surprised analysts and investors with their announcement that they would begin paying dividends again. (The last cash dividends were paid in 2006.) The announcement came at an investor event in New York...
by Patrick M. Kelly | Nov 28, 2011 | Training Programs, Women Financial Advisors
The new training program, Advisor Mastery Program or AMP was launched in October by Raymond James with 35 participants and based in the California, Colorado, Florida, Indiana, Michigan and Texas branches. With a goal to attract more women, the class boasts 35% female...
by Patrick M. Kelly | Nov 23, 2011 | Financial Services Industry, RIA
“Instead of the Securities And Exchange Commission (SEC) or the Financial Industry Regulatory Authority (Finra) examining RIA firms, the firms themselves should foot the bill for their own periodic compliance examination by using an outside body. “ That’s the...
by Patrick M. Kelly | Nov 21, 2011 | Financial Recruiting Industry, Job Market
Just an FYI for you Financial Advisors who are looking, (or not) to make a move. Should you contact Financial Services Recruiters or go it alone? First to consider: A good recruiter has access to jobs and information about the industry and can provide advice that will...
by Patrick M. Kelly | Nov 18, 2011 | Dodd Frank
Everyone has “buzzed” about the Dodd-Frank Wall Street Reform Act and the European Market infrastructure Regulation and agreed that the changes represented are some of the biggest ever. Granted, what will actually come to fruition is up for debate, but there is...
