Displaying 913 results
Verification key to halting cyber scams
The threat of cyberattacks is very real in the financial advisory industry, but not all advisers are getting the message.
DOL fiduciary rule may finally spark lower fund fees for mutual funds
The industry may have held on to many distorted fee structures that might have been better suited for the 1980s.
Ensuring arbitration awards make it to investors
Unpaid awards is an issue that has been smoldering since at least 2000.
How financial advisers can operate in a world without trust
Fiduciary — ADJECTIVE. 1. involving trust, especially with regard to the relationship between a trustee and a beneficiary:…
SEC’s courts still appear biased
Earlier this month, the U.S Court of Appeals upheld a Securities and Exchange Commission ruling against Raymond Lucia…
Grappling with retirement health costs
Health-care costs are “the great unknown of retirement” for many advisers.
SEC should refrain from branding advisers as fraudsters over poor continuity planning
Kudos to the Securities and Exchange Commission for shining a spotlight on the importance of succession planning by…
Some penalties, while brutal, are fair
If the firms decided to take shortcuts — and in the recent F-Squared case it seems like they did — they should be held accountable.
Social media in SEC’s crosshairs
Advisers should develop a social media strategy, bearing in mind the SEC's guidance.
Industry opposition to state retirement plans ignores reality
A huge potential awaits financial advisers with the advent of more workplace savings programs. Once people have a retirement plan, they're in the market.
How Uber and the sharing economy will change the advice industry
Millennials are coming of age during a disruptive economic landscape and will find it increasingly challenging to save for retirement.
Follow the data to ID the best prospects
Advisers play an important role in grooming the next generation of savvy consumers, which can be a win-win for clients and advisers alike.
Advisers need to get real with clients about what reasonable investment returns look like
There's a big disconnect between investor expectations and stark economic realities, especially among American millennials.
New Finra execs should toughen investor protection rules
As the changing of the guard takes place at the Financial Industry Regulatory Authority…
Help clients give wisely
Not all charities are created equal, and advisers shouldn't relinquish their role as stewards of their clients' wealth by avoiding philanthropy discussions
Finra, it’s high time for transparency
A call for new Finra leadership to be more forthcoming about the board's work.
ETF liquidity a growing point of financial industry contention
Little to indicate the ETF industry is fully prepared for a major rush to the exits by investors.
Advisers should get behind a bill to strengthen senior financial protection
Push by advisers could help tug this needed legislation out of the doldrums and on to the president's desk.
Skeptical advisers should reexamine their attitudes toward reverse mortgages
Most of the loans' issues have been solved, or at least ameliorated.
DOL must keep dialogue open on fiduciary rule
Sudden withdrawal of DOL's Timothy Hauser from a panel at the Insured Retirement Institute conference was a blunder.
