All Posts – Page 65 – Equity Services, Inc

Important Notice from Touchstone Investments

IMPORTANT UPDATE Touchstone Fund Name Change & Strategy Change effective October 28, 2021 Touchstone Ohio Tax-Free Bond Fund name change to: Touchstone Core Municipal…

Beth KnoxOctober 5, 2021

Compliance & Licensing

Reminder: Complete Your ESI Compliance Survey – We’d Love Your Feedback!

Follow this link to the Survey: Take the Survey ESI’S 2021 FEEDBACK JOURNEYIn 2021 ESI’s goals are focused on the growth of our business as…

Beth KnoxOctober 5, 2021

Compliance & Licensing Operations

Reminder: Form CRS Acknowledgement Requirements

Regulation Best Interest (“Reg BI”) introduced a new disclosure document, Form CRS (Client Relationship Summary), which has specific delivery and record retention requirements. This…

Beth KnoxOctober 5, 2021

Compliance & Licensing

2022 Annual Renewals

ESI 2022 Annual Renewal Notices will be distributed via email the first week of October. For any questions, please contact ESI Licensing at 800-344-7437.…

Beth KnoxSeptember 27, 2021

Advisory Solutions Compliance & Licensing Operations

Reminder: Upcoming Important Dates!

Important Reminder: Brokerage Account Paper Statement Fee will be Reflected on 9/30/21 Account StatementsIn the 3rd quarter of 2021, National Financial Services, LLC. (NFS)…

Beth KnoxSeptember 27, 2021

Operations

Coming Soon: New Wealthscape InvestorSM Mobile App

After close of business on October 19, 2021, Fidelity Investments will introduce a new refreshed Wealthscape InvestorSM mobile app into the App Store and…

Beth KnoxSeptember 27, 2021

Compliance & Licensing

DOL 2.0: What Does It Mean to be a Fiduciary?

Why is this important to me?Before we even begin to explain what it means to be a fiduciary under the Employee Retirement Income Security…

Beth KnoxSeptember 27, 2021

Operations

Report Retention Update in My View Portal

On November 1st Broadridge will be modifying the retention time on the reports available within My View Portal. These reports include, but are not limited to,…

Beth KnoxSeptember 27, 2021

Advisory Solutions Strategic Partners

Save the Date for AssetMark: Impact Assets – Donor Advised Funds

Tuesday, September 28 at 1:00 pm ET The ImpactAssets Donor Advised Fund with AssetMark is an innovative donor advised fund that empowers your clients…

Beth KnoxSeptember 21, 2021

Operations

Important Reminder: Brokerage Account Paper Statement Fee will be Reflected on 9/30/21 Account Statements

In the 3rd quarter of 2021, National Financial Services, LLC. (NFS) will begin assessing a quarterly surcharge for the physical delivery of client trade…

Beth KnoxSeptember 21, 2021