Salespeople Tend to Do What They’re Paid to Do
In the fiduciary debate, remember that we all tend to do more of what we are incentivized to do.
What 'BYOP' Means for Advisors' Social Media Compliance
There are real benefits for advisors building a presence on social media, but real challenges, too.
Cash Balance Plans Supersize Small Business Retirement Savings
Hybrid cash balance plans can provide small businesses with an opportunity to more than quadruple annual retirement savings.
The BICE Is Not a DOL Fiduciary Get-Out-of-Jail-Free Card
Understand when you must use the best interest contract exemption under the DOL fiduciary rule — that means even you, fiduciary advisors!
5 Guideposts for RIAs to Comply With SEC’s Change of Control Rules
All RIAs will inevitably need to navigate the SEC’s “change of control” rules and guidance. Here’s how to stay on course.
How to Answer When FINRA Knocks on Your Door
Forward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.
8 Questions to Help Advisors Comply With 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 this Dec. 1.
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.