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Total: 21 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. The New Fiduciary Rules: Good Or Bad?
(Matching tags: commission,fiduciary standard)
I was happy to hear that the DOL finally approved the new fiduciary rules on investment advice for retirement plans. As an RIA, I’ve always been held to the fiduciary standard—to put the interests ...
Friday, April 15, 2016
3. How We Can Help You Survive The Fiduciary Firestorm
(Matching tags: fiduciary standard,communication,compliance,CRM)
The fiduciary firestorm is almost upon us, but good CRM can help you survive.        ...
Monday, April 04, 2016
4. Annuities And The Fiduciary Rules
(Matching tags: fiduciary standard,annuities,client education)
I have often written about the “evils of annuities.” In my experience, I have seen annuities sold:   Within retirement accounts – There is no purpose to putting a high ...
Tuesday, March 01, 2016
5. 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
6. Can Your Clients Trust Their 401(k) & IRA Investments?
(Matching tags: fiduciary standard,IRA rollovers,IRA,compensation,401(k))
... implement fiduciary requirements for years and seems ready to issue final regulations soon.  The courts are now getting involved also. This could be the beginning of the end for predatory 401(k) and ...
Wednesday, May 20, 2015
7. 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
8. 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
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
Three weeks ago, I reported that Ron Rhoades, an expert in the legal underpinnings of the fiduciary standard in the Investment Advisers Act of 1940, had written an entry to his blog that “read like ...
Monday, June 10, 2013
... a fiduciary obligation on brokers accepting commissions similar to the fiduciary standard under the Investment Advisers Act of 1940, and financial advice ethics experts Ron Rhoades published a pamphlet ...
Wednesday, May 22, 2013
12. Why A Uniform Fiduciary Standard Isn't The Answer
(Matching tags: fiduciary standard,Dodd-Frank)
A uniform fiduciary standard won’t change anything if underlying problems plaguing the industry are not fixed first. ...
Monday, May 13, 2013
13. SEC Extends For Two Years Principal Trading Rule For Non-Discretionary Accounts
(Matching tags: fiduciaries,fiduciary standard,sec)
A controversial rule that allows brokers to trade as principals in non-discretionary advisory accounts has been extended by the SEC for another two years.   The rule was adopted in 2007 and ...
Thursday, January 03, 2013
  It is provincial, unrealistic and not in the best of interest of consumers to view the CFP designation as superior to all other professional designations, and NAPFA’s full-embrace of the ...
Tuesday, December 18, 2012
The CFP® Board has abandoned its plan to stiffen educational requirements to continue to hold the designation to 40 hours from 30.   Eighty-five percent of comments about the proposal were ...
Thursday, December 06, 2012
If you want to become a NAPFA-Registered Financial Advisor, you will now will have to have earned the Certified Financial Planner (CFP®) designation.   The National Association of Personal ...
Wednesday, December 05, 2012
The pursuit of a uniform fiduciary standard for both brokers and independent advisors will come back to the forefront in 2013.   The SEC will also pursue continual assessments of how to better ...
Tuesday, December 04, 2012
From December 31, advisors in the United Kingdom will have to be much clearer about the type of advice they give, whether it is independent or restricted, and what fees they will charge for it.
Monday, November 26, 2012
The newest SEC commissioner, Daniel Gallagher, challenged SEC head Mary Schapiro’s statement that a new rule to put brokers under a fiduciary mandate could be proposed next year.  ...
Tuesday, October 30, 2012
20. CFP Board Multimedia Series Sheds Light On When CFPs Are And Are Not Acting As Fiduciaries
(Matching tags: fiduciary standard,financial planning,CFP Board)
CFP Board has posted a series of short multimedia presentations about its standards of conduct that help define the fiduciary obligations of CFP practitioners. The guidance provided in the multimedia ...
Wednesday, October 10, 2012
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