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.
Formulas for Success: Are You Overpaid?
By Mark TibergienSeveral months of populist outrage over the sins of Wall Street have stunned the financial community. With every action comes a louder reaction. The proposed...
January 29, 2009
Obama Signs Wage Discrimination BillPresident Obama has signed his first bill, the Lilly Ledbetter Fair Pay Act of 2009.
January 09, 2009
Lawmakers Attack Executive Comp MovesRep. Barney Frank has introduced a bailout program overhaul bill that could affect executive compensation arrangements at companies seeking government help.Frank, D-Mass., chairman of the ...
January 08, 2009
AIG Narrows Executive Plan Termination PayoutsAmerican International Group Inc. says it is changing the approach it will be using to shut down 14 elective deferred compensation programs.AIG, New York, will ...
January 01, 2009
Hoekstra Fills Slot Left by Weil; Exec Comp Plan RevisedUBS has confirmed that because of the U. S. federal grand jury indictment of former Global Wealth Management & Business Banking CEO Raoul Weil, it...
December 15, 2008
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
November 30, 2008
Software Firm Shifts To Green PrintingBenefit Software Inc. is using recycled paper and soy-based inks from Custom Printing Inc.
November 25, 2008
AIG Rules Out 2008 Management BonusAmerican International Group Inc. has set Edward Liddy's salary at $1, eliminated 2008 annual bonuses for top company executives, and restricted the top executives' 2009 ...