Eye on the regulatory regime in some far-flung places
By Warren S. HerschThere is a constant push and pull worldwide to strike the right balance between protecting consumers and giving advisors the freedom to grow their practices.
September 13, 2015
The Real Cost of Investment FeesPersonal Capital, an online advisory firm, just released a report showing how much money investors lose paying fees to financial institutions.
September 11, 2015
Can Old Wall Street Firm Re-Emerge as Boutique RIA?The team at C.J. Lawrence says it has the "DNA" to address high-net-worth investors.
September 09, 2015
SEC: ‘Financial Myth Buster’ Dawn Bennett Spun a Myth About Her Firm’s AssetsThe host of a radio show, "Financial Myth Busting With Dawn Bennett," and her firm are accused of inflating their AUM.
September 08, 2015
Why Now Is a Good Time to Remind Clients to Save for CollegeSeveral states are offering prize money this month to families who contribute to their in-state 529 plan.
September 07, 2015
Regulation a Bigger Threat to Advisors’ Business Than Market Crash: FSI SurveyCEOs of FSI member firms overwhelmingly agree that potential regulatory actions rank among the top concerns.
September 04, 2015
5 New Compliance Headaches for Advisors, BDsAs Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
September 04, 2015
CFP Board Sanctions 2 More CFPs Over ‘Fee-Only’ Comp StatusCFP Board has issued public disciplinary actions against two CFPs for misrepresenting their compensation method as "fee-only."