All Posts – Page 97 – Equity Services, Inc

Regulation BI Disclosure and Form CRS Training

The fourth module in ESI’s training series regarding Regulation Best Interest (“Reg BI”), the landmark regulation set to go into effect on June 30,…

Beth KnoxJune 9, 2020

Compliance & Licensing

Field Notice 2020-16: Video Conferencing for Seminars

Recently issued Field Notice 2020-06 outlined requirements for Registered Representatives (“RRs”) and Investment Adviser Representatives (“IARs”) to utilize WebEx or Zoom when conducting group…

Beth KnoxJune 9, 2020

Advisory Solutions

AssetMark Share Class Conversion

AssetMark, Inc. is committed to lowering investment costs and helping advisors deliver value to your clients. AssetMark will transition certain mutual fund strategies from…

Beth KnoxJune 9, 2020

Operations

New NFS Annual Standing Payment Instructions Letter

Effective, July 1st, ESI will begin leveraging a new NFS communication to enhance the security of client accounts with existing Standing Payment Instructions. The…

Beth KnoxJune 9, 2020

Compliance & Licensing Training

Get Ready for Reg BI

What is Reg BI?Regulation Best Interest - or Reg BI - is a landmark regulation set to go into effect on June 30, 2020.…

Beth KnoxJune 3, 2020

Advisory Solutions Product

Important Updates from AssetMark, Morningstar and Touchstone

Process Updates from AssetMark Broker Dealer Instruction: Bulk reassignment request with a letter of instructionTo move multiple accounts or clients to a different Financial…

Beth KnoxJune 3, 2020

Prospecting & Marketing Training

Keeping Momentum in Challenging Times – Rep Panel Discussion

Please join us for the third installment of our Rep Panel Discussion Series. In this session we’ll visit with Nick Pontilena of Integrated Financial…

Beth KnoxJune 3, 2020

Advisory Solutions

Client Resources and Best Practices from Brinker Capital

Resources for IARs Brinker Capital Market BarometerThe Brinker Capital Market Barometer is a monthly assessment of different factors that impact market performance.Pick a letter,…

Beth KnoxJune 3, 2020

Operations Product

529 Accounts Now Available in Brokerage

The 529 Plan Brokerage Account Application is now available in Merrill Forms and Quik/Docupace. Docupace Starting Point Forms kits have been established to incorporate…

Beth KnoxJune 2, 2020

Operations Strategic Partners

National Life (NL) Indexed Annuities Now eligible for eSign Through DocuSign!

ESI is continuously working with our top vendors to discuss eSignature acceptance. As a result of these conversations and the lessons learned through a…

Beth KnoxMay 26, 2020