Displaying 913 results
Is JPMorgan too big to manage?
Stream of scandals, most suggesting failure of oversight by its management, raises the issue
Duty to retirement plans expanded
Advisers need to be aware of a Supreme Court decision in a major 401(k) fee case's implications for their plan advisory work
From elder planning to implementation
Advisers' jobs include not only helping clients reach a secure retirement but also helping them live through that retirement
A chance for change at the SEC
Pending departure of two commissioners brings up the prospect of transformation at the agency
Women bring value to corporate boards
Judging by the evidence, adding women to all boards would improve U.S. corporate performance
Stepping up protection for the elderly
As the elderly population grows, it's incumbent on advisers and brokers to put those clients' best interests ahead of their own.
Retirement, ready or not
Clients depending on their ability to work beyond normal retirement age should think twice.
Killing the clock on fiduciary proposal
Industry reaction seeking more time smacks of foot-dragging, possibly in the hope that the proposal could be delayed, which does not serve investors well
Agencies need better handle on shady trades
Markets remain vulnerable to manipulation by clever traders with computer skills
Optimizing your site can give you a leg up
Take the time to get your site mobile-ready, and make sure the content on it is easily readable and navigable
Shifting focus is in brokers’ best interests
Time for the industry to respond positively to a fiduciary standard, perhaps seeking a few clarifications and minor tweaks, but no longer seeking to kill it entirely.
Advisers can’t live by AUM fees alone
Clients should have the option of paying for advice in a way that makes them most comfortable and makes sense for them.
Bonus disclosure deserves second look
Finra should seriously consider suggestions for changes to its proposed broker bonus disclosure rule.
Help clients make the most of tax season
Tax season is the perfect time to help clients take a look back — and ahead — in order to address their retirement plans.
Setting rules for outside exams
It's time for the SEC to take a hard look at its third-party exam process and consider ways to streamline it.
For rogue advisers, it’s thirty strikes, but not out
Only penalties that make repeat offenders in the financial arena feel serious heat will deter illegal behavior.
The war of words among robos
It's time to call a truce in the war of words among robo-rivals and get back to business.
Fiduciary rule needs momentum
It's about time Mary Jo White took the helm and steered the agenda of this supposedly nonpartisan body beyond its present partisan split on fiduciary.
Prepping your firm for sale
Owners who want to sell must do their homework and put in the difficult effort to prepare for sale
Our inaugural 40 Under 40
Ladies and gentlemen, I present to you our inaugural class of 40 Under 40. In choosing the…
