IAW News
BoA Targets Mass Affluent with Financial Planning
- Saturday, 23 February 2013
Bank of America has launched Merrill Edge Roadmap, which is a financial planning service that matches the firm’s 1.6 million mass affluent clients with Merrill Financial Solutions Advisors, reports AdvisorOne.com.
Read more...Wells Fargo Posts Strong Year for Advisor Recruitment
- Saturday, 23 February 2013
Last year was the second-best year for Wells Fargo’s efforts to recruit advisors for its Advisors Financial Network, which caters to independents.
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SEC Identifies Shortcomings in Protecting Client Data
- Sunday, 17 February 2013
The Security and Exchange Commission’s Office of Compliance Inspections and Examinations has issued a report that identifies common weaknesses in how broker-dealers keep client data confidential, reports Lexology.com.
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