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May Week 2: Your retirement branding statement
Capture the assets of retiring baby boomers by branding your practice to highlight your retirement expertise.
A duty to monitor proxy voting
Upon the conclusion of a talk about achieving fiduciary excellence that I delivered April 28 at the Mountain States Public Employee Retirement Systems Forum in Denver, and sponsored by the Investment Management Network LLC of New York, an attendee approached me and asked, “What are my obligations as an investment committee member with respect to voting proxies?”
Corporations spend less on Sarbanes-Oxley
The average cost for Section 404 compliance was $1.7 million, according to a Financial Executives International survey.
April Week 4: Follow-up communications plan
Position your practice at every board meeting and reinforce your board members’ willingness to continue as a resource.
April Week 1: Creating a client advisory board
Deepen client relationships and outside resources through a client advisory board.
March Week 4: Rolling out the plan
It's now time to share your communications plan with your team and top clients.
Risk management is key to distribution planning
Financial advisers and clients can be their own worst enemies when drafting plans for retirement income, making common — but crucial — errors that can ruin distribution plans, according to an influential academic.
It is time for the SEC to take a stand on compliance with Section 404
After months of insisting that no further delays for smaller public companies would be forthcoming, SEC Chairman Christopher Cox said in December that he would recommend still another delay in implementing Section 404(b) for companies with market caps under $75 million ("non-accelerated filers") until fiscal years ending on or after Dec. 15, 2009.
Going forward in an unsteady market
Succession planning always creates complications.
When physicians are your target
Despite the challenges faced by today's physicians — the soaring cost of malpractice insurance and declining insurance reimbursements are just two — doctors remain one of financial advisers' most sought-after niches
Round Table: Regulation – Round-Table discussion transcript
The following is an edited transcript of the round-table discussion.
March Week 1: Communicating with clients
How do you become a better communicator? Learn how in the first of a four-week step-by-step program.
H&R Block loses $4 million arbitration case
Top management at H&R Block Inc., parent of H&R Block Financial Advisors Inc., allegedly turned up the heat and threatened a senior executive in the middle of an acrimonious dispute over compensation, according to an arbitration complaint that led to a $4 million award to the executive last month.
Recruiting, keeping advisers is top priority
As demand for advisers increases, firms need to project recruitment strategies out to 2012, said Rebecca Pomering of Moss Adams.
Schweiss survives Fiserv sale to TD
Skip Schweiss will stay with the legacy Fiserv Investor Support Services business after all.
Reps question controversial ‘minitenders’
Investors are still receiving “minitender” offers that try to get them to sell shares at below-market prices.
New tools keep up with compliance
Technology to help automate and improve the compliance function may not ring a financial adviser's cash register, but it certainly can reduce the time-consuming and potentially costly problems that compliance failures create.
Tread carefully when self-reporting
Self-reporting in areas such as the retention of e-mails “is more of an art than a science,” said the CEO of ING.
SEC still unhappy with exec-comp reporting
A majority of the 350 companies initially contacted by the SEC have now received second letters.
Dalbar creates compliance unit
Dalbar Inc., a financial services market research firm, has tapped an ex-insurance executive to start a division catering to the needs of compliance departments.
