The investment advice regulation for 401(k) plans recently released by the Labor Department offers more than proposed guidelines for making advice available to retirement plan participants.
One year later, it's clear who's running the show
Less than 4% of all independent advisers have ever had their businesses professionally valued, and less than 10% have any formal, written succession plans in place.
High net worth clients are caught in an internal tug of war
The Biggest Retail Banks have yet to get it right
In a speech at the 2010 Investment Adviser Compliance Forum, Elisse Walter, a member of the Securities and Exchange Commission, expressed strong support for the extension of the fiduciary standard for financial professionals, calling it “critical to comprehensive investor protection.”
Over the past decade, increased competition and regulatory change have had a profound effect on the way financial products and services are sold.
They are going to find out about it anyway, and they're better off hearing about it from you
Can you solve a global debt crisis by issuing more debt?
It is a very competitive market out there right now, with financial advisers offering a range of investment options and insurance products.
Don't miss an opportunity to communicate your service levels to clients and prospects.
You too can set your practice apart from the competition by identifying and promoting your platinum services.
“Prudence” seems like an old-fashioned word with a stodgy connotation, but for fiduciaries, it is a timeless concept with significant implications.
Master these three steps in order to hire the Breakaway Advisor to your smaller Broker Dealer or RIA
Many investors don't realize that we are swimming in uncharted waters.
Few Small Firms are Able to Sell Themselves to Big Firm Advisors
If ever there were a time to kill 12(b)-1 fees, that time is now.
