How to Avoid Failure to Supervise
By Chris StanleySupervision is one of those compliance buzzwords that gets tossed around like its meaning is obvious. I submit to you that it is not.
June 21, 2017
Should You Outsource Your Investment Management?Depending upon which studies you look at, somewhere between 25% and 50% of all advisors outsource some or all of their investment management functions.
June 21, 2017
Board to Death: Is the CFP Board’s New Fiduciary Standard Really Better Than No Standard at All?Back in 2008, the CFP Board announced that it was revising its professional standards to include a requirement that CFPs act as fiduciaries for their clients.
June 21, 2017
Socially Responsible Investing Starts With the Bottom LineAs mission-focused investing becomes more popular, advisors need to use a financial screen first when looking at potential investments.
June 21, 2017
Pershing’s New Advisor Tech ExperienceAI, chatbots and facial recognition are all on deck in Pershings revamped NetX360 workstation.
June 21, 2017
The Build-a-Pension TrendLongevity risk is such a concern that the IRS has eased rules to make it easier for clients to protect against the risk.
June 21, 2017
Wealth Advisor, Heal Thyself: A 5-Question Checkup for Your FirmAnswering these questions will put your firm on the path to a healthy future.
June 21, 2017
Should You Jump on the Buffer Annuity Bandwagon?This product offers an appealing cross of annuity products that clients clearly want, but advisors should look before they leap.
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