7 Rules You Need to Know in Fiduciary Proposal

Keith R. McMurdy
April 20, 2015

The Department of Labor's latest proposal should be fully digested and evaluated before public comments are sought by the agency.

A Fiduciary's Perspective on the DoL's Consumer Protection Proposal

Alex Assaley
April 16, 2015

The DoL's fiduciary proposal has been framed as a way to help the middle-class avoid excessive fees and bad advice from their financial advisor -- but is there enough transparency?

Worried About Fiduciary Rule? 2 Options for Brokers

Michael Case Smith
April 15, 2015

As the DoL proposal enters the public comment period, here are two things 401(k) professionals and advisors concerned with how to comply should keep in mind.

Analysis: Watering Down the Fiduciary Standard?

Ron A. Rhoades
April 15, 2015

Some of the proposed exemptions could be so expansively interpreted that they permit the egregious conduct that bona fide fiduciary standards are designed to constrain.

Yes, Millennial Bank Customers Justify the Hype

Mark Ranta
April 7, 2015

Without millennials, financial institutions will find themselves in a precarious position in coming years.

Don't Panic, Says RJ Exec: Robos Won't Replace You

Tash Elwyn
April 2, 2015

Contrary to so much that has been written and said about the rise of the machines and the demise of human financial advice, the need and demand for personal, face-to-face, human advice will remain. Here's why.

With Fiduciary Rules Pending, Get Your Compliance Act in Order -- Now

Carlos Guillen
March 30, 2015

Offering company retirement plan advice can be a shrewd strategy for advisors -- but first they must establish sound and compliant operations, especially in light of pending regulatory changes.

Create a Long-Term Care Plan -- Without Insurance

Carolyn McClanahan
March 18, 2015

Beyond insurance options, a CFP/MD lays out the protocols advisors should follow to help clients best prepare for their later years.

Time to Hand Over Part of Your Biz? 5 Key Questions

Shirl Penney
March 17, 2015

Here are some of the top questions advisors have when they consider outsourcing parts of their business operations to a third party.

Why Fiduciary Revision Is a No-Brainer

Dave O'Brien and Geoffrey Brown
March 11, 2015

The divide within the financial industry creates confusion that ultimately puts the financial security of everyday consumers at risk, write NAPFA execs Dave O'Brien and Geoffrey Brown.

Targeting Female Clients? Read This First

Craig Faulkner
March 5, 2015

The challenges women face -- earning less and living longer on average than their male counterparts -- greatly affect how they invest and what they're looking for in a planner.

SEC Needs to Take Ownership of Fiduciary Duty Question

Jim Allen
March 4, 2015

Investor confusion over fiduciary standards won't disappear despite the efforts of the White House and the DOL, argues Jim Allen, head of capital markets policy in the Americas at the CFA Institute.

'Critical Moment' for Fiduciary Advisors

Ron A. Rhoades
February 23, 2015

If accomplished, the DOL's new fiduciary rules could be a much needed game changer at a time when Americans need help.

Going Independent? Final Launch Stages

Shirl Penney
February 19, 2015

What advisors should know about setting up an independent practice.

Bank Regulators Have Ethical Problems of Their Own

Bill Bergman
January 27, 2015

Fed officials have been calling on banks to strengthen their ethical cultures. The message will carry more weight if regulators are willing to turn the spotlight on their own practices.


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