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Making the most of another delay in the DOL's fiduciary rule

August 20, 2017

After seven long years of argument and comment, one would expect that the Labor Department's fiduciary rule would be a done deal, and would now be going into full effect. Alas, no. While the DOL has allowed parts of the rule to go into effect,...

Financial advice industry has a role in opioid crisis

August 5, 2017

A growing number of clients — and their families — are at risk of financial ruin. It is time for financial advisers to open their eyes to the corpse-littered wasteland that defines the national opioid crisis, and take steps to keep clients...

Understanding algorithms is key to gauging robo fiduciary status

July 22, 2017

Subtle biases in,​ subtly biased advice out — could that be a hidden problem with some robo-advice programs? And if so, can regulators identify it? As reported in the June 30 issue of InvestmentNews, a recent academic paper suggests the...

Health-insurance reform uncertainty hampers advisers' ability to counsel to clients

July 8, 2017

The failure of congressional Republicans to pass a health-insurance reform bill to replace the Obama administration's Affordable Care Act has complicated the lives of financial planners and investment advisers in many ways. The most obvious...

Assessing the future of the financial advice industry

June 17, 2017

Let's look into our crystal ball for a moment to see what the future holds for the financial advice industry. A couple of coinciding projects at InvestmentNews encourage us to do so now, with the benefit of crowd-sourced knowledge from some...

DOL Fiduciary Rule: Acosta makes it clear that revisions are coming ​

May 27, 2017

We​ were​ pleased to read Labor Secretary Alexander Acosta's emphasis on sticking to the rule of law when it comes to deregulation in his Wall Street Journal op-ed last Monday. Though his decision not to further delay the June 9 initial...

Ransomware attack underscores importance of cybersecurity

May 21, 2017

Financial advisory​ firms, like all businesses, got another rude wake-up call when hackers recently launched a widespread ransomware attack known as "WannaCry." The hack was noteworthy for the speed and magnitude of its reach. In just a few...

With U.S. stocks flying high, advisers should caution clients

May 13, 2017

It has been two decades since then-Federal Reserve Chairman Alan Greenspan used the phrase "irrational exuberance" ​ to describe the general mood of investors during a December 1996 speech at the American Enterprise Institute. At the time,...

New tax plan is a work in progress that needs advisers' input

May 7, 2017

The pace and​ scope of action in Congress last week — including the House vote to repeal Obamacare and a House committee's approval of a Dodd-Frank replacement bill that scraps the Labor Department's fiduciary rule — might make Mr. Trump's...

Donald J. Trump's first 100 days: the highs and lows

April 30, 2017

Despite what President Donald J. Trump says, the first 100 days of an administration are important. That's when a new president makes clear their priorities, proclivities and, perhaps most importantly, their character. Mr. Trump is no exception,...

Setting a new price for financial adviser services

April 22, 2017

Price is the amount of money expected, required or given in payment for something; value is what something is worth, the level of regard in which something is held. Financial advisers should remember a key truth about their relationship with...

Advisers who are already fiduciaries should shout it from the rooftops

April 16, 2017

The concept of fiduciary duty might not yet be fully grasped by consumers, but it is starting to make inroads into mainstream discourse. Clients don't always know what it means to be a fiduciary, but they know they should ask if their adviser...

Time for an in-depth look at regulatory duplication

April 9, 2017

Robert W. Cook, president and CEO of the Financial Industry Regulatory Authority Inc., put his finger on an important issue — regulatory duplication — in a speech at the New Special Study Conference at Columbia University last month. The...

Advisers must protect elderly from financial fraud

April 2, 2017

As this week's cover story makes clear, the financial abuse of older people is on the rise. The elderly are targeted by fraudsters because they often have a pile of savings and a steady stream of income. Older people are also more prone to cognitive...

Change in Washington shouldn't include cutting tax deferrals

March 26, 2017

It seems incomprehensible that lawmakers would do anything that would reduce incentives for Americans saving for retirement, but the Republican-controlled Congress and the Trump administration just may have 401(k) plans on their radar as a way...

Discrimination against women advisers via harsher punishment must stop

March 19, 2017

Finance professors at three top universities have found a clear example of blatant discrimination against women in the financial industry that must be addressed by the firms in the industry, or by regulators. The professors found that women...

DOL must put the fiduciary delay to good use, integrate past work

March 12, 2017

As the Labor​ Department collects comments on its proposed delay to the fiduciary rule, InvestmentNews has some words to share with the agency on getting real about what the ultimate goal is here. We've covered this regulation for almost seven...

The accredited investor rule should be redefined, not erased

March 5, 2017

It should not come as a surprise that there is a general push emanating from Washington for less regulatory oversight, which is the context for recent comments by the acting SEC chairman supporting greater investor access to certain private...

State, local auto-IRA initiatives benefit 'forgotten' workers

February 26, 2017

In his short tenure, President Donald J. Trump has followed up on his campaign promise to try and reduce federal regulations. He has signed an executive order requiring that in order to add a new regulation, government agencies must get rid...

It's up to advisers to know their custodial status

February 17, 2017

As somebody once said, it's the little things in life that get you; you can sit on a mountain but you can't sit on a pin. For financial advisers, one of those little things could take the form of a password or username for a client's online...

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