Telling advisers to never assume enough is enough when it comes to research.
What's useful for clients in terms of planning is also good for business development.
Firms' compliance manuals and contracts will be scrutinized to ensure employee protection.
Chris and Brian Cooke partner with the 108-year-old firm for strategic expansion.
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Cross border financial planning can help, but it's super taxing to emigrate.
Here's a sampling of what financial planners are advising investors to do to protect their money.
Regulation to raise investment advice standards for retirement accounts could be targeted by the new administration and the Republican-controlled Congress. <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>
If Republicans were to win a repeal of the so-called death tax, contentious Treasury regulations on business valuation discounts would also disappear.
One public policy expert says yes.
Move to fee-based IRAs gave consideration to SEC's view of other brokerage accounts at firm.
In the new administration, the regulatory agenda could be largely shaped by the officials she puts in charge of the agencies.
Violating terms of an investment policy statement is considered a fiduciary breach, and the uptick in 401(k) litigation has heightened concern over language that's too prescriptive.
It shows Finra is carrying out its responsibility of regulating the industry and serving as the watchdog protecting the public.
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There are some variables under clients' control that they can use to bring down their total Medicare costs.
The Labor Department is coming off a big win, but will the judgment have legs in this appeal and the five other suits still pending against the regulation? <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 rule</a>)</i></b>
Adviser offers firm's experience building a business within the business for younger investors
The Anderson Financial Group will be based in Madison, Wis.
Two industry leaders &mdash; Pershing Advisor Solutions CEO Mark Tibergien and Echelon Partners CEO Dan Seivert &mdash; disagree on what impact the regulation will have on the financial advice market.
