What Regulators Are Looking for in Your Firm’s Cybersecurity
One in five RIAs could face a security breach this year; no wonder regulators are watching. At its best, cybersecurity management is a three-legged stool.
How to Comply With IRA Comp Rules Under DOL Fiduciary
Advisors beware: It’s a prohibited transaction for tax-qualified, ERISA-governed retirement plans, including IRAs, to pay more than reasonable compensation to the plans’ service providers.
How an Advisor's Compensation Structure Affects the Client Relationship
Why a fee-based comp model is more beneficial to the advisor's company, the advisor and the client.
Sometimes It's Hard for Owners to Talk to Companies
Why the U.S. Justice Department is casting a wary eye on public company executives talking to individual shareholders.
The SEC Investor Advocate’s View Askew: The Illusion of Fee Disclosure
What’s missing in the SEC report are the costs to investors of recommendations by “advisors” who do not have a fiduciary duty.
3 Ways Advisors Can Raise Their Social Media Game
Worried you don't have enough unique content to run on your social media channels? You actually do, following these steps.
Lending to Poor People Didn't Cause the Financial Crisis
Two Trump advisors lay the blame for the credit crisis and Great Recession on the Community Reinvestment Act of 1977. The reality is different.
ABLE Accounts Yield Tax-Preferred Special Needs Savings
ABLE accounts represent a valuable tax-preferred planning tool for disabled individuals, but they are just one piece of the puzzle.
Earning Your Clients' Trust: Simple but Not Immediate
Caring for your clients can build trust over time, but you can build your business by being trustworthy.
Trust: Being a Good Advisor Is About More Than Expertise and Information
First, listen to a prospect's needs, then present your solutions.