Broker-Dealers Embrace DOL's Best Interest Contract Exemption
Several insurance carriers have indicated they will attempt to comply with the DOL’s best interest contract exemption rather than exiting certain lines of business.
My Personal Fund Screening Process
Using the Fiduciary Scorecard that I created helps me screen in the best mutual funds and ETFs for client portfolios.
How to Comply — and Why — With SEC Rules on Regulatory AUM
Whether you call yourself a financial planner or investment manager, pay close attention to the SEC’s instructions (and enforcement actions) on counting regulatory AUM.
How Advisors Can Turn Market Volatility Into a Positive
Some answers to this critical question—What does an advisor need to do during volatile times to keep clients invested?—while showing your superiority over robo-advisors.
Fiduciary Duty, Mutual Funds and 401(k)s: Will Asset Management Firms Kowtow on Fees?
The New York Life employees' lawsuit over the expenses of index funds in their 401(k) plan has broader implications for the asset management business.
4 Keys to Retaining Your Advisory Firm’s Best Young Talent
Focus group work with successful young advisors discovered their motivations for staying at their current advisory firms.
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.