Displaying 911 results
Regulators have a sharp eye on IRA rollovers, so advisers must act cautiously
Financial advisers should discuss the pros and cons of a move with clients, and document their considerations.
Advisers must step up guidance on Medicare, as flubs are costly
Some clients may not even realize they're supposed to enroll.
Great change or gridlock? Under a bipartisan Congress, advisers will see change
Legislation to boost retirement savings might gain support.
Increase of enforcement cases against RIAs, advisers suggest compliance may need a boost
State actions against advisers outpaced those against brokers.
Understand where your firm’s growth is really coming from
The 2018 InvestmentNews Study of Pricing & Profitability shows a lot of advisers' success is tied to market gains, but there are ways to grow more reliably.
Investors, don’t lose sleep over the midterm elections
Historically speaking, the worst is behind us.
After Ohio National decision, the fine print of annuity trails is now a must-read
Broker-dealers are questioning Ohio National Financial Services' decision to terminate service agreements, and rest assured they will demand more commission protections in future contracts.
Voya cybersecurity blunder should serve as a wake-up call to the entire industry
The stakes are high: Procedures have to be reviewed and tested on a regular basis.
Long-term-care insurance gets a boost, but there’s more to do
Kudos to the NAIC for making LTC policies safer.
SEC’s proposed advice rule is about as clear as mud
The way we see it, there's value in simplicity — so let's start there.
Market swings are inevitable, so help your clients focus on overall financial health
Now is the time to remind clients of what's in their control.
Many young staffers have benefits needs beyond a simple 401(k)
IRS ruling affirms one employer's approach to chipping away at employees' mountain of student loan debt.
DOL fiduciary rule might be dead, but its ghost hovers over the financial advice industry
Your best strategy is to always act in the best interests of your clients, and this is the exact reason why.
Viewpoints differ on diversity and inclusion, but this we agree on: There are many ways to improve
Those who take the first step will be the ones who profit from a more open profession.
Designations matter to your clients
Bottom line: Even if all those credentials are confusing, you need to earn them
Finra’s disclosure on use of fine money a good first step to more transparency
More openness about its finances is welcome and may be a precursor to greater disclosure about other areas of its operations.
Independence of auditors critical when easing broker regulations
Basically, the legislation would create simplification.
A more expansive future requires multiple pricing models
Charging fees based on assets under management is OK, but the modern financial advice business is starting to cut varied paths toward different pricing models that might be better both for clients and the overall industry.
Does the SEC really need to define ‘best interest’?
Now's the time for brokers and advisers to weigh in.
IPO filing could usher in new era of legitimacy for RIAs
It seems only natural that IPOs will be the next step.
