Is Schwab’s Arbitration Win Really a Loss?
There's much backlash in Washington over Schwab's successful rebuttal of a FINRA challenge to its expanded mandatory arbitration clause.
As Fiduciary Debate Returns, Advisors Share Attitudes and Practices
As the SEC and DOL work to finalize their fiduciary standards, AdvisorOne and fi360 field their third annual advisor fiduciary survey to determine real-world advisor opinions and actions.
FINRA Shifts SRO Fight to Senate, as House Effort Falters
With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
Client Views: Fear and Loathing in the Reception Room
If it’s true that you never get a second chance to make a first impression, advisors should give at least as much thought to their receptionist and the reception area as to retirement income or portfolio rebalancing.
An Annuity RIAs Will Love? SSG’s Dan Skiles Explains
Can RIAs ever love annuities? Apparently so.
Pursuing Practice Excellence — ActiFi’s Spenser Segal: Video
ActiFi founder and CEO Spenser Segal discusses the evolution of practice management in the past, and looks at what advisor practice management will come to be in the future.
Swiss Banks Giving Up Employees to IRS, DOJ
Thousands of employees of Swiss banks are finding that their employers are hanging them out to dry in exchange for hoped-for leniency in connection with American accounts involved in a tax evasion investigation.
Research, AdvisorOne to Cast Light on Murky Fee Disclosures
Research Magazine, AdvisorOne and Dalbar are teaming up to cast a brighter light upon the shadowy world of retirement plan fee disclosures by exposing providers who make it hard for plan sponsors to fulfill their fiduciary obligations.
Scottrade’s Spirit; Pursuing Practice Excellence; Fiduciary Best Practices: July Investment Advisor—Slideshow
Most people are happy enough to talk about themselves, but Brian Davis, who is the focus Investment Advisor’s cover story, consistently highlights his team’s efforts in providing value and service at Scottrade’s institutional arm.
Create Tangible Value in Your Fiduciary Practice
Great strides have been made over the past two decades to upgrade fiduciary best practices and the standard of care in the investment business.