No Longer a Cottage Industry
The SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients’ data.
When SEC and State Advisor Regulation Collide
Section 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
Scottrade Said to Be Exploring Sale to TD Ameritrade
There is speculation that the discount broker, which works with about 1,000 RIAs, could be bought by TD Ameritrade.
Advisor ‘Uberization Anxiety’ Fraying Bonds With Clients
As clients get used to having needs met immediately through technology, advisors have to rethink how they interact with them.
How Advisors Can Use ‘Pre-Suasion’ Tactics to Gain Client Trust
Psychologist Robert Cialdini explains how to positively push people to your way of thinking before you even deliver the strength of your message.
Building Trust Key to Overcoming Client Roadblocks
Trust is still an issue in the financial services industry, Zahira Lehri of SunTrust said at the IRI Vision annual conference.
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity Survey
While 29% of advisors see a positive impact from the DOL rule, 28% are considering retirement or a career change.
Schwab DAF Clients Gave $1.2 Billion to 56,000 Charities in FY2016
For the second consecutive year, Schwab Charitable distributed over $1 billion in charitable grants on behalf of its DAF account holders.
Vanguard’s New Model for Retirement Spending in Low-Yield Market
Vanguard has developed a goals-based approach to retirement spending with a low-return environment in mind.
Advisors, It Pays to Thank Clients — Consistently: Janus Labs
Those who express gratitude regularly and systematically have significantly higher AUM than those who do not, Janus finds.