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CFP Board proposal another signal fiduciary is the future

June 24, 2017

The Certified Financial Planner Board of Standards Inc. added its voice to the fiduciary debate last week. In a proposed update to its code of ethics and standards released last week, the board broadened its application of when CFP professionals...

CFPs, including brokers, may have to adhere to a stricter fiduciary duty

June 20, 2017

Certified financial planners, including those working at broker-dealers, would have to adhere to a fiduciary standard at all times under new rules proposed by the organization that grants the designation. Under a new 17-page code of ethics and...

Trial court orders Ameriprise to pay advisory firm $1.5 million

June 15, 2017

Ameriprise Financial and two of its employees must pay advisory firm Hanson McClain Advisors $1.5 million for using client information misappropriated by a former employee to solicit business, a trial court judge in California ruled earlier...

Brokerage firms hunt for fintech in early-stage development

May 26, 2017

While financial advisers find it challenging enough to stay on top of new financial technologies, some firms are dedicating resources to ensure they have a heads-up on the latest fintech innovations coming down the pike. Edward Jones is investing...

Communication is key to robo-advisers' plans to keep their clients on track in a downturn

May 25, 2017

Editor's note: This is part of a series looking at how the advice industry is getting ready for the next market correction. Digital advisers and firms that combine computerized advice with some live help have attracted more than $83 billion...

CFP Board launches program to attract more women planners

May 4, 2017

The CFP Board Center for Financial Planning is creating a pilot program known as the Financial Planning Re-entry Initiative (FPRI) aimed at expanding the pool of female financial planners. Working in partnership with iRelaunch, a firm that develops...

Experts say DOL fiduciary rule's fate, timing uncertain, changes likely

April 24, 2017

A panel of regulatory experts questioned Monday how the fight over the Labor Department's approaching fiduciary rule will play out, alluding to a political landscape in Washington that's in constant flux and a tight deadline for taking action...

Making a case for (and against) delaying the fiduciary rule

April 24, 2017

Should the fiduciary rule be delayed 60 days? Maureen Thompson of the CFP Board and Robert DeChellis of the Allianz Exchange squared off in this heated debate from the Retirement Income Summit.

Courses available to become a Medicare pro

April 12, 2017

Like it or not, clients near retirement often have burning questions about when to enroll in Medicare, particularly if they are still working. If they are enrolled in Medicare already, they may have questions about their premiums. Wouldn't it...

How a divided Washington will impact investors, advisers

April 5, 2017

Maureen Thompson of the CFP Board has worked in Washington for more than 30 years, and she says it is more divided than ever. Why has compromise dissolved?

Fidelity's David Canter makes financial advice his Boston Marathon cause

March 20, 2017

David Canter, the newly appointed head of the RIA segment at Fidelity Custody & Clearing Solutions, will be running next month's Boston Marathon with the financial planning industry top of mind. Mr. Canter, 48, has named the CFP Board's Center...

College planning programs in need of financial aid

February 26, 2017

Hit hard by an 18% drop in state funding over the past six years, Kansas State University can't even afford to teach its 65 financial planning students how to use such popular planning programs as MoneyGuidePro or Morningstar Advisor. "We're...

Beware the gap coming in the number of financial advice professionals

February 22, 2017

With the average financial adviser now 51 years old, and as the baby boom generation grinds toward retirement, it's only natural to fret over a potential dearth of fresh faces to fill the advice ranks. From a big-picture perspective, David Canter,...

Working to spark a global movement for pro bono financial planning

February 14, 2017

The United States has a long history of connecting the financial planning community to people in need. For 22 years now, we've helped fund vital programs that connect volunteer financial planners to underserved people who need no-strings-attached,...

Betterment now offering human advice with its robo

January 31, 2017

Betterment is the latest digital financial advice firm to incorporate live planners into their business model, as the line between traditional and robo-advisers continues to blur. The New York-based firm has hired about a dozen financial advisers,...

Advisory firm PagnatoKarp expands concierge services to smaller clients

January 27, 2017

It isn't just ultra-wealthy clients today who have access to concierge services through financial advisory firms. With competition for clients heating up and pressure on fees, some advisers are reaching down to clients with fewer resources to...

CFP Board gets nod in Labor Department's investor fiduciary FAQs

January 17, 2017

If 30 questions weren't enough to satisfy investors' queries about a Labor Department investment advice rule, the agency provided additional resources at the end of a document released last Friday. Only two groups cited in the coda to the frequently...

Did the Department of Labor get it right with the fiduciary rule?

December 28, 2016

Executives from organizations including AARP, CFP Board, Institute for the Fiduciary Standard, National Association of Insurance and Financial Advisors, and Rebalance IRA weigh in on why they're "cautiously optimistic."

Use of artificial intelligence technology in financial services to grow: report

December 19, 2016

Financial services firms are beginning to deploy artificial intelligence technologies to make themselves more efficient and better than their peers — and those without a strategy should develop one now, according to a new report. “It is...

Tools financial technology companies plan to bring advisers in 2017

December 16, 2016

Advisers wondering what their technology providers will offer next year will be happy to know that they're focused on the same thing that most advisers emphasize — the client. Many of the tools financial technology companies plan to deliver...

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