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.
Panel Schedules AIG Hearing
By Staff WriterThe House Oversight Committee plans to meet Oct. 7 to review the "regulatory mistakes and financial excesses" that led to the current problems at American ...
August 28, 2008
Fees Top Reason Plan Sponsors Switch ProvidersFees have become the top reason retirement plan sponsors switch providers, outpacing poor service, according to a new Spectrem Group report. Nearly one-third (30%) of plan sponsors cited cost/fees as the primary factor precipitating a change in plan providers, according to the report, "DC Market Needs."
August 15, 2008
Ten tips for surviving an auditDon't submit to an audit on the spot if it upsets essential client meetings. Don't try to anticipate what the auditor will focus on. Develop a compliance manual for your practice. Don't apply logic to SEC requirements. Assig
August 01, 2008
T. Rowe's Rogers Shares 'An Investor's Perspective'(Chicago) Brian Rogers, chairman and chief investment officer of Baltimore-based T. Rowe Price, gave the final keynote presentation during to the 2008 Morningstar Investment Conference...
July 29, 2008
Team playingWorking as part of a team can help advisors secure more assets, according to Kristin McNamara for Dow Jones. She writes, "in the fierce competition...
July 15, 2008
EBSA Offers 2009 Form 5500 ReliefThe Employee Benefits Security Administration has come out with 40 questions and answers to help employers and benefits advisors apply new Form 5500 benefit plan ...
July 01, 2008
New York To Schedule Comp HearingsNew York state officials plan to hold 3 fact-finding hearings on agent and broker compensation arrangements this month, officials say.
July 01, 2008
Notes Link to Crude Oil, MetalsDeutsche Bank and Invesco PowerShares Capital Management announced the launch of eight exchange-traded notes (ETNs) linked to the performance of industrial metals and crude oil. The...