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Brokerage Firms
Latest Headlines
Latest Headlines
Social media, going beyond marketing in wealth management
It took a while, but the financial services industry is finally starting to embrace social media as a critical new communications method. In many ways, specialty brokerage firms have led the way with
More XBRL-based applications being used
Now that XBRL-compliant financial reports are a reality for just about all companies, we will be looking for interesting applications built on XBRL-tagged data. So far, we've seen most companies
Can social media fix customer perception of banks?
The public perception of banks has yet to rebound since the financial crisis pushed top banks into the arms of the federal government. Brokerage firms' reputations took a hit, as the collateral
Mutual funds face big technology challenges
As you probably know, the IRS has required cost-basis tax reporting for brokerage firms, mutual fund companies, custodian banks and transfer agents. As of Jan. 1, 2011, these firms were required for
A glimpse of shareholder empowerment
The shareholder empowerment movement has scored some big wins as of late. None have been bigger than the change that would give shareholders direct access to the proxy. A good example of what all
Developments toward a corporate actions solution
If you've ever worked in a brokerage firm, you know what a pain corporate actions can be. The shocking part is that they are still processed manually in many cases, with people scouring
Risk management tech skepticism on Wall Street
Risk management is a hot-button issue right now, the type that requires canned responses--duly vetted by the PR and IR folks--from all top executives. While many executives speak eloquently about the
Audit regulation changes to fall from Madoff scandal?
TheDeal.com asks this regarding the Bernard Madoff scandal: "What about those tough auditing rules imposed after the Enron and WorldCom scandals? Surely, such a massive fraud would light up
Fidelity pointing the way with mobile trading apps?
We've spoken a lot about banks bent on building out their mobile offerings. But brokerage firms are in some ways even farther ahead on the roll out curve. Fidelity Investments certainly thinks mobile
New type of identity theft scam emerges
Phishers are relentless in their drive to obtain confidential information. Their scams are getting more elaborate everyday, forcing security folks everywhere to stay on their toes. The Securities
