Answers released last week give clarity on some issues, like fee-based advice and recruiting incentives, but are obscure on reasonable compensation.
Labor Department lays out guidance on questionable compensation practices for brokers &mdash; and RIAs. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
The flipside is the 3-year averages are getting worse.
The financial encyclopedia website has started measuring online searches as a way to forecast buying and selling in the markets.
Twenty-four teams left in third quarter on top of 26 in second quarter. <b><i>(More: <a href="http://data.investmentnews.com/aotm" target="_blank">See all the latest moves in InvestmentNews' Advisers on the Move database</a>)</i></b>
The best were former advisers themselves, but that may not be the case in the future.
A charitable giving plan is a great tool to help high-net-worth clients achieve their philanthropic goals while also solving some of their tax issues.
If front-runner Hillary Clinton wins, higher taxes could be on the way for advisers' wealthy clients.
How to minimize the chance of a late rollover.
Data aggregation &mdash; and knowing what's on both sides of a client's balance sheet &mdash; is key to meeting new requirements.
Plus: Bilked Madoff investors get some pay back, the economics of Halloween, and forecasting the election outcome based on costume sales
Plus: How Clinton and Trump won't save Social Security, more scrutiny for sales charges, and taking the 5% challenge.
Agency answers 34 adviser questions pertaining to the regulation's exemptions, including the best-interest contract exemption. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
The Massachusetts Securities Division came to that conclusion after surveying 327 RIAs, whom the commonwealth is offering to train for free.
The Department of Labor's fiduciary rule prohibits individual IRA investors from participating in initial public offerings with the assistance of their financial adviser.
The firm and owner Marc Broidy, of Beverly Hills, Calif., allegedly had more than $1.4 million of ill-gotten gains.
By paying for things they absolutely need with income sources that won't run out, clients can enjoy the best treat of all: peace of mind in retirement.
CEO says the commission model, which will require more compliance work on the company's part, serves both clients and advisers well. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Company has spent nearly $19 million this year preparing for the regulation.
'The great challenge ... is that ability to re-differentiate ourselves from those who are following your success and wanting to look and act and to appear to clients just as you do.'
