Displaying 913 results
Time to get on board the fiduciary train
Many advisers and the firms they work for are still woefully unprepared for what lies ahead.
Identifying the best active funds
Finding funds likely to beat their benchmarks remains the challenge, and where financial advisers can earn their keep
Can robo-advisers be fiduciaries?
Responsibility for advice — even that which is incidental to a transaction — cannot be palmed off on an inanimate object.
Time for advisers to brush up on ESG investing
Any financial adviser who has not been asked about socially responsible investing by a client likely will be…
Confirmation quagmire mustn’t deter SEC
Despite it being unlikely that two SEC nominees get confirmed anytime soon, the regulator must not hesitate in getting on with its important mission.
Steer clear of politics with clients
Best business strategy is to try and stay as apolitical as possible in client interactions and public communications
What happens if the Fed goes negative?
The most obvious victims of a negative-rate environment are savers and retirees
On guard against inflation
Warning signs of inflation have begun to appear, and advisers shouldn't be ignoring them
Donald Trump presidency improbable, not impossible
Surges by the political outsider, as well as by liberal insurgent Bernie Sanders, should make the investment advice industry sit up and take notice
Doing the math on RIA exams
Promising developments in the push to boost the number of advisers examined by the SEC each year
Embrace the robo-adviser disruption
Advisers that embrace this disruption and offer a wider range of services will thrive and prosper in the digital age.
SEC takes steps to avoid Madoff sequel
The regulator must find a way to increase the productivity of its examiners
Advisers, new pensions have holes to fill
Clients need to be sold on the idea of saving for retirement, and needing advice on retirement investments
Keep calm and invest on
In the face of volatility, it's now time to review investors' long-term strategies, take the long view, and remain calm.
Consider yourself warned on message archiving
Firms may have to spend more money and more management time upgrading their archiving systems
Warming up to ESG funds in 401(k)s
Plan advisers might not fully understand the rules regarding ESG investments
Form ADV deserves your attention
Mistakes made on this form are low-hanging fruit for the SEC and state regulators.
Advisers should pay attention when regulators lay out exam priorities
Broker-dealers and advisory firms would be foolish not to take regulatory priority letters seriously.
Low 401(k) fees aren’t a legal cure-all
Fees that participants pay must be the lowest possible if the sponsors are to avoid potential lawsuits
SEC questions require answers
The SEC must be more transparent about its new questionnaire. What is the ultimate purpose? What justification is there?
