From those who set the standards, much is expected
The CFP Board should be commended for taking action.... Read more »- InvestmentNews gathers client and asset data to assemble company rankings... Read more »
- As its fee-based advisory business continues to grow, the country's biggest IBD wants to keep more of its RIA assets at home.... Read more »
This Week’s Top Stories: Ex-RayJay Broker Wins Expungement, Wells Cuts Complexes, and More
Most popular stories from August 11 to August 17 Read More The post This Week’s Top Stories: Ex-RayJay Broker Wins Expungement, Wells Cuts... Read more »- Former CEO of David A. Noyes, Mark Damer, was fired last month.... Read more »
- Markopolos cited the effect of new standards for how companies account for long-term care policies.... Read more »
After a great IPO, AssetMark still needs to nail down its biggest asset, Charles Goldman, who assures that it's 'really nothing'
The CEO of the Concord, Calif.-based super-TAMP was its turnaround artist, maestro of sale to Chinese buyer and led it to the... Read more »- Political donations cross the aisle as lobbyists try to make friends on both sides.... Read more »
- Gregory T. Dean had admitted guilt a few weeks ago in a different case brought by the SEC.... Read more »
- In the latest chapter of its ongoing cost-cutting and cultural make-over, Wells is slimming a layer of middle-management by 15% across its... Read more »
- Double-digit returns on bond funds embracing longer durations can turn on a dime if interest rates start climbing.... Read more »
- General Electric Co.’s biggest plunge in 11 years came at an awkward time for some of Wall Street’s savviest investors, after a... Read more »
- The agency’s top criminal chief has described digital and virtual currencies as a “significant threat” to tax collection and said the agency... Read more »
- The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.... Read more »
- Internal Revenue Service filings detail the investments of 21 trusts set up by the estates of Sam Walton, his widow Helen and... Read more »
- Latest batch of letters signal that the agency is increasing its focus on cryptocurrency tax compliance.... Read more »
- Veteran advisers join employee unit in Virginia Beach, Va.... Read more »
- Jim Dickson also recruited HighTower talent, Amit Dogra, to bring the old HighTower brokerage model and execute it as HighTower veers toward... Read more »
- VideoSeeks injunction against Wisconsin advisor who left after 12 years for BMO Wealth Management, continuing discount brokers’ newly aggressive attempts to enforce... Read more »
- Investors terrified of the yield curve inversion may find solace in exchange-traded funds, according to Bank of America Corp. Read More The post... Read more »
NEWS
Weekend Reading for Financial Planners (August 17-18)Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the release of the latest... Read more »
Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation?, email Mark Astarita or call... Read more »
According to Investment News, Cetera Financial Group is having a banner year in attracting new advisers to its platform, with recruits ranging... Read more »
Differentiating Your Value: People Make the Difference
Foundational to attracting and retaining new clients is the need to consistently articulate, demonstrate and validate your value. In a commoditized industry,... Read more »- Kitces & Carl Ep 14: Projection-Free Financial Planning To Avoid A False Sense Of Precision
Developing trust is one of the most important things financial advisors can do to establish lasting relationships with their clients. For which... Read more »
- Fee Severability: The Next Big Issue In The Regulation Of Financial Planner Compensation?
Back in early 2015, the White House directed the Department of Labor to propose and implement a new rule that sought to... Read more »
SEC Reaffirms and Clarifies the Meaning of an Investment Adviser’s Fiduciary Duty
As part of its June 5th landmark issuance of multiple final rules and interpretive releases dealing with broker and advisory standards-of-conduct—which included... Read more »- Gratitude can be defined in numerous ways. Some view it as an attribute with the power to decrease fear and attract abundance,... Read more »
- #FASuccess Ep 137: The Evolution Of How Financial Advisors Solve Client Problems Across Industry Channels, with Lou Tranquilli
Welcome back to the 137th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Lou Tranquilli. Lou is the founder... Read more »
Contractions: Use or avoid in formal writing?
Are contractions good or bad in formal writing? I’ve had several clients whose style guidelines don’t allow the use of contractions. For... Read more »- What The Australian Financial Services Royal Commission Signals For U.S. Fiduciary Rulemaking
For almost half a decade now, the United States has tried to implement Federal-level regulations requiring that those who are in the... Read more »
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Can you spot what’s wrong in the image below? Please post your answer as a comment. This mistake is too common. ... Read more »- Weekend Reading for Financial Planners (August 10-11)
Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with an edgy new academic study... Read more »
- There is a topic that has come up in so many conversations I’ve had this past week, it was like the universe... Read more »
- Is The CFP Board Finally Ready To Enforce The Standards Its Public Awareness Campaign Promotes?
On July 29, the Wall Street Journal published an article which reported that nearly 10% of the certificants included on the CFP... Read more »
