Advisor Reliance on Compliance Consultants Hangs in the Balance
Robare has morphed from an alleged conflict of interest case into one that calls into question advisors’ reliance on compliance consultants.
Coping With America’s Coming Cognitive Decline
Cognitive function really starts to go downhill for people in their 70s, and the eldest of the baby boomers will start turning 70 in January.
Worried the Tech Bubble Will Burst? Keep Calm
The current situation doesn’t look much like the bubble of the late 1990s, but there might soon be a broad drop in funding for startups.
Robo-Advisors: Just Another Distribution Channel?
Conflicting revenue sources, self-dealing, and low client care standards. As Barbara Roper says, "How’s that any different from the rest of the financial services industry?"
The Advisor's Journey to CRM Success, Pt. 3: Which CRM to Choose?
Just like selecting the right vehicle for your transportation needs, your CRM choice can make for a challenging or pleasant ride.
The Inherited Roth Rollover: How to Avoid Unpleasant Surprises
The rules on rolling over inherited retirement funds into an inherited Roth IRA are complicated, lawyers Robert Bloink and William Byrnes warn.
Who Wins the ‘Passive vs. Active’ Institutional Debate? Pt. 7: U.S. High Yield Bonds
When it comes to high-yield bonds, you'd be better off with an active strategy in mutual funds.
How Problematic Is Credit Fund Illiquidity?
An examination of the differences between European and U.S. regulation raises questions on the underlying risks of '40 Act liquid alts funds.
Tracking Your Advisory Firm’s Vitals
How to track your firm's current business metrics to better plan for 2016.
Reverse Mortgages for Retired Clients: Does the Strategy Fit?
This tool should only be used in very specific situations — giving the advisor a critical role in guiding clients on when and how.