Results for "fiduciary"

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The most transformative rule since ERISA

May 4, 2016

Is the DOL fiduciary rule as big of a deal as we are making it? Frankly, yes. But where will it have the biggest impact and why are clients so confused by this new rule?

The DOL fiduciary rule's effect on small broker-dealers

May 4, 2016

In the current regulatory landscape, small to midsize broker-dealers are subject to an ever-increasing regulatory burden. The new Department of Labor fiduciary rule simply adds fuel to that fire. Earlier this month, after five years in the making,...

How to sell fixed indexed annuities in a DOL fiduciary environment

May 4, 2016

Many providers of fixed indexed annuities and advisers who sell them were caught off guard when the Labor Department failed to exempt them from a fiduciary standard under the department's new rule. As advisers now weigh how to make recommendations...

With regulations looming and robos stalking, advisers must prove their worth

May 3, 2016

As a recently finalized Labor Department investment advice rule increases pressure on financial advisers to justify their fees, they can prove their worth by helping clients retire comfortably, according to financial industry officials. Worries...

7 actions to demonstrate compliance following the DOL fiduciary rule

May 3, 2016

Sales and advisory organizations are fundamentally different. That is the premise of the Labor Department's new conflict-of-interest rule. They have different priorities, which shape the culture and practices that exist in each. Consequently,...

One unintended consequence of DOL fiduciary rule

May 2, 2016

While the Labor Department's newly released fiduciary rule has inspired much discussion among industry stakeholders speculating how the regulation will adversely affect the advice business, there's a potential silver lining: a younger industry....

The Fiduciary Journey

May 1, 2016

As the room fills to capacity on April 6 with celebratory lawmakers and advocates awaiting the Labor Department's final fiduciary rule, the champion of the measure, Phyllis Borzi, stands quietly at the back.

Cease-fire by DOL fiduciary rule opponents may not last long

May 1, 2016

In the three weeks since the Labor Department released the final version of the rule that would toughen investment advice standards for retirement accounts, the financial industry generally has not barked, but that doesn't mean that it won't...

LPL's earnings bounce back, but commission revenue continues to erode

April 28, 2016

LPL Financial Holdings Inc. reported flat first quarter earnings on a year-to-year basis Thursday, but they were a vast improvement from the previous quarter. LPL, which operates the nation's largest independent broker-dealer, reported net income...

Post-DOL fiduciary rule, Schwab dumps load funds as advisers yawn

April 28, 2016

You won't see hordes of angry advisers picketing Charles Schwab & Co. offices in the wake of its decision to stop selling Class A shares. But it's another sign that the days of high-cost funds are numbered, and that the Department of Labor's...

House votes to kill DOL fiduciary rule

April 28, 2016

The House of Representatives approved along party lines Thursday a resolution that would kill a Labor Department investment advice rule. After an hour of debate, the House voted 234-183 in favor of the measure, which was offered under a law...

Biopharmaceutical Fortress Biotech to buy an independent broker-dealer

April 28, 2016

Independent broker-dealer merger-and-acquisition activity continued its steady pace in 2016 as National Holdings Corp. said Thursday that it had reached an agreement to be acquired by Fortress Biotech Inc., a biopharmaceutical company that develops...

Obama administration vows to veto House resolution to kill DOL fiduciary rule

April 27, 2016

President Barack Obama will veto a House resolution designed to kill a Labor Department rule to raise investment-advice standards for retirement accounts, the White House said Wednesday. The resolution is expected to come to the floor for a...

Why independent broker-dealers are in survival mode

April 27, 2016

InvestmentNews senior columnist Bruce Kelly talks about the challenges facing independent broker-dealers and what many firms are doing — or are not doing — to ensure their survival.

Schwab shuns load funds in DOL's wake

April 27, 2016

In the latest sign of the changes to come in the wake of the new DOL fiduciary rule, Charles Schwab Corp. is taking mutual funds with sales loads off its shelves. The move away from sales loads, and higher fund expenses in general, will become...

What does 'best interest' mean anyway? Texas Tech seeks more clarity on DOL fiduciary rule for advisers

April 26, 2016

The Labor Department's fiduciary rule may be 1,023 pages long, but it stops short of defining what acting in clients' best interest actually means, according to Texas Tech University. About a week after the new regulation was released April...

Independent broker-dealers suffer worst year since credit crisis

April 25, 2016

For the independent broker-dealer industry, 2015 was the worst year in the last six, and 2016 promises to be just as difficult — if not more so. “If 2015 was bad, 2016 is worse,” said Joel Marks, the former chairman of independent broker-dealers...

DOL fiduciary rule could spark acquisitions of RIAs as well as broker-dealers

April 24, 2016

The DOL fiduciary rule, already expected to spur consolidation in the broker-deal industry, could also hasten mergers in the registered investment adviser space. “Our merger conversations are up 20% over last year” and the Labor Department's...

Still plenty of headaches for independent broker-dealers in the DOL fiduciary rule

April 24, 2016

Even though the Labor Department's recent changes to how financial advisers can counsel clients on retirement assets isn't the industry killer some had feared, independent broker-dealers will find plenty of unpleasant realities among the details...

Bright side of the new DOL fiduciary rule: Tech and efficiency

April 24, 2016

Well, it's finally happening. The Labor Department's fiduciary rule has landed, and the effects of the historic final rule announced April 6 are starting to ripple through the financial advisory industry. But for all the bellyaching surrounding...

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