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Total: 50 results found.

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1. The DOL And Your Fees
(Matching tags: fees,fiduciary standard,fiduciaries,401(k))
    The new DOL rules imposing fiduciary responsibilities for retirement plan advice might impact RIAs, even though they’ve already been held to a fiduciary standard. If you’re ...
Monday, July 04, 2016
2. What's So Great About Being An Advisor?
(Matching tags: business ethics,fiduciary standard,financial aid,client service,client referrals,Advisor businesses,client feedback,financial advisor,feedback,client loyalty,client satisfaction,fiduciaries)
  I was recently asked what was the best part of being a financial advisor. I said it was seeing my clients achieving their goals.  ...
Sunday, September 27, 2015
3. New Fiduciary Rules For Retirement Plan Advisors
(Matching tags: fiduciary standard,retirement plans,fiduciaries,401(k))
 After years of struggling with this issue, it appears that the Department of Labor has come up with its "final" version of fiduciary requirements for advisors to retirement plans. Simply ...
Tuesday, May 05, 2015
4. I Am A Fiduciary And I Am Ready To Serve Retirement Investors
(Matching tags: fees,fiduciary standard,client education,registered investment advisors,retirement plans,fiduciaries)
The Secretary of Labor has been tasked with updating regulations to require fiduciary standards for those who provide advice or investments to retirement plans or those saving for retirement. The ...
Tuesday, March 17, 2015
5. Download A Free Digital Asset Inventory Questionnaire For To Help Clients With Estate Planning For Digital Assets
(Matching tags: client communications,estate planning,fiduciaries,privacy; security)
The disposition of digital assets is a new frontier for fiduciaries and an emerging area of law that prudent investment advisors will want to track closely.   Financial advisors who want ...
Monday, December 16, 2013
If you’re making car or mortgage payments online and die, what happens? What if no one knows your passwords? After you die, who is entitled to access your photos, personal journal, and Facebook account? ...
Sunday, December 15, 2013
Retirement income planning has always focused on reaching a wealth accumulation goal by the time of a client’s retirement date, but managing assets after retirement to maximize income is ultimately ...
Wednesday, November 27, 2013
Advisors who take their role as fiduciaries seriously are well-positioned to compete against Wall Street. The wirehouses and regional brokerage firms have a terrible reputation for selling instead of ...
Friday, July 26, 2013
9. Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard
(Matching tags: financial planning coalition,fiduciary standard,FPA,CFP Board,NAPFA,Dodd-Frank,fiduciaries,FINRA,sec)
The Financial Planning Coalition (FPC), in a letter to the Securities and Exchange Commission released today, argues convincingly for the adoption of a fiduciary standard. FPC—a union of the CFP ...
Monday, July 08, 2013
As Congress and the SEC near a time for reckoning on implementing Dodd-Frank reforms in the regulation of investment advisers, Wall Street, RIAs, FINRA, and other stakeholders are digging in ...
Sunday, June 23, 2013
For investment advisors to 401(k) plans, it’s a tumultuous time. Some 70 million Americans will hit retirement age over the next two decades, whipping the 401(k) advice business into a competitive ...
Thursday, May 30, 2013
A lot of fee-only advisors think that advisors who accept commission compensation cannot be fiduciaries. That’s not necessarily true. Legal experts say the Securities Exchange Act of 1934 imposes ...
Wednesday, May 22, 2013
... to act as fiduciaries—and only offer advice in the best interest of clients—exempt CFPs from a duty to act as fiduciaries in most client engagements.  ...
Monday, April 22, 2013
14. Are Financial Advisors Who “Expose” Activities Of Bad Advisors Really Just Self-Interested Jerks?
(Matching tags: media,Advisor businesses,integrity,fiduciaries,advisor industry people)
Financial advisor Allan Roth, on MoneyWatch.com, posted this morning about “how financial advisors lie to themselves.” But is he guilty of the very offense he accuses other advisors of committing? ...
Monday, April 01, 2013
Charles Schwab's brokerage agreement contains a clause forcing customers to arbitrate disputes, and some RIAs are expressing concern that using Schwab as a custodian and requiring them to accept the arbitration ...
Friday, March 15, 2013
80% of American investors do not believe the federal government is doing enough to protect “consumers from being taken advantage of” by financial advisers, and 84 percent investors agree that ...
Monday, March 11, 2013
In a case that could have wide repercussions for financial advisors and consumers, the State of Illinois last week filed civil charges against a financial advisor that essentially alleges he advertised ...
Monday, March 11, 2013
NPR’s Michel Martin interviewed a financial journalist yesterday and they together bashed financial advisors. What's happening is not simply part of a longstanding tradition in which the consumer ...
Wednesday, March 06, 2013
19. Labor Department Issues A Must-Read Guide On Target Date Funds For ERISA Plan Fiduciaries
(Matching tags: target date funds,retirement income,retirement plans,fiduciaries)
 A new document from the U.S. Department of Labor clears up two widespread safe harbor misconceptions: It’s not true that any QDIA will do – you need to vet your selection, and “safety ...
Tuesday, March 05, 2013
Over the next forty years, the number of Americans with Alzheimer’s disease is expected to triple.   A new report out by the medical journal Neurology says that by 2050, there will be 13.8 ...
Tuesday, February 26, 2013
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