SEC Actions on Private Equity Fees Show Agency's Enforcement Aim
In limited partnership or subscription agreements, Form ADVs or elsewhere, the SEC scrutinizes differences between what managers say they'd do and what they actually did.
6 Keys to Finding the Best Blog Posts to Attract Clients
To increase your chances of attracting new clients (and retaining existing ones), your blogs must speak directly, and topically, to those clients' concerns.
History Provides Hope for Institute for the Fiduciary Standard’s New Best Practices
While reforming large financial services institutions may be tough, the Institute believes reforming the industry from the ground up is more doable.
Fed Meeting Shouldn't Obscure BOJ's Big Moment
The most informative policy decision this week could take place in Tokyo, which may signal what lies ahead for other central banks.
Self-Directed IRAs: Avoiding DOL Fiduciary Rule Liability
The DOL fiduciary rule could increase the use of self-directed IRAs, but the role of the advisor does not end once a client chooses one.
Markets and Pundits Have a Data-Point Fixation
People often seem to overlook the weaknesses in data. I see this often in the financial community, and among presidential poll watchers.
Double Taxation for Your Clients: The Highest Risk
The exposure comes when clients exercise non-qualified, granted company stock options—not incentive stock options.
This Loophole Ends the Privacy of Social Security Numbers
A federal appeals court decision has worrying implications for those who oppose a single national identification number.
Elizabeth Warren Has Five More Bad Ideas
Some of Warren's ideas could have consequences counter to what she says her goals are: helping workers, raising incomes and ensuring the system is fair.
3 Reasons Advisors Should Consider Working in a Credit Union
If you're looking for a new home for your advisory practice, a credit union offers unique advantages.