Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
Advisors Shift Pricing Models to Appease Fee-Savvy Clients: SEI
By Michael S. FischerClients are more aware of fees than they were three years ago and are demanding more "client-centric pricing models," SEI found.
June 02, 2018
Advisors Have Much to Gain With Broker-Dealer ArbitrageWith the advisory space getting crowded as others flood into the same investment style, price compression is an increasing reality, making advisory cost savings increasingly important.
April 30, 2018
Why the Role of Compliance Officers Is Taking on New ImportanceThe growth of investors using advisors boosts the value of the compliance function, says SEC Chairman Jay Clayton.
April 27, 2018
Some Things Are Worse Than Paying TaxesFee-based governance, standard in the Gilded Age, has been making a comeback of sorts. That's not healthy.
April 23, 2018
Wells Fargo May Not Be Done Paying for Its MisdeedsWhile CEO Tim Sloan has said Wells Fargo's problems are over, it's not clear management actually believes that.
April 19, 2018
United Capital Delivers a Richer Digital Client ExperienceUnder the new client experience system, firms no longer need to transition their client data to a new CRM.
April 12, 2018
Top 6 Fee, Expense Failures That SEC Will Bust You ForAn SEC Risk Alert lists the fee- and expense-related compliance failures the agency cites most frequently in deficiency letters.
April 11, 2018
Fidelity Is Said to Overhaul Fees on Financial AdviceFees will now be tied to how much a client invests with Fidelity, according to reports from the WSJ and Bloomberg.