8 Questions to Help Advisors Comply With the DOL’s Other New Rule
Labor’s White Collar Exemption Rule, which changes the rules on which employees get overtime pay, has a deadline of December 1, 2016.
Errors of Commission: AUM Fees Are Better Business
Broker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
SEC's Sketchy Insider Trading Definition Sparks Enforcement Actions
Fund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SEC’s aggressive enforcement.
Coders: The Business Partners You Didn’t Know You Had
The developers working behind the scenes on advisor technology represent the glorious underbelly of fintech you’ll likely never see, but depend on every day.
Your Biggest Cybersecurity Threat? Your Employees
Hackers routinely target workers who are dangerously oblivious to proper cybersecurity practices. Preventing these breaches demands firm-wide education.
Financial Services Explained, Pt. 1: The Cost of Everything
In the first of a series, we look at how advisors young and old can benefit from understanding how the industry works for your clients.
3 Powerful Benefits Financial Company CEOs Realize by Getting Social
Not long ago, CEOs — especially those at the helms of financial organizations — were perceived as inhabitants of lofty ivory towers.
Organized Crime Has Gone Online and Hackers Are Looking at You
Hackers use various attacks to infiltrate company systems and are soaking them for billions of dollars. Being pro-active is RIAs’ only option.
DOL Fiduciary: Outsourcing Offers Small Firms a Lifeboat
The primary focus for smaller plan sponsors looking to comply with the DOL fiduciary rule will likely be on mitigating risks through outsourcing.
Cybercrime 2016: The New Frontier
New technology and digital advances enable firms to grow their businesses faster than ever.