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.

Social Security: With the SSA Overwhelmed, Advisors Can Provide Much-Needed Help

William Meyer
January 22, 2015

Client confusion over what Social Security agents can and can't do means missed opportunity and money left on the table. Savvy advisors can help.

Banks' Biggest Risk Management Lessons from 2014

Susan Palm
January 6, 2015

Last year regulators tightened their grip on Wall Street, while banks were caught off guard by emerging cybersecurity and reputational risks.

Technology Sweetens Independence

Shirl Penney
December 30, 2014

Profitability and control still rank high on the list of reasons advisors go independent, but the ability to have new and better systems – especially software – also plays a compelling part.

When Social Security 'Rules of Thumb' Don't Work

William Meyer
December 17, 2014

Biases that arise from misconceptions (and laziness) can do lasting damage to a client's retirement plan and an advisor’s business—the popularity of "file and suspend" is just one example

7 Ways to Avoid a Digital Disaster

Marie Swift
December 8, 2014

While traditional marketing is still necessary for financial planners who want to thrive and grow, content and credibility marketing with a digital twist are essential. Here are some ideas for advisors.

Is Your Social Security Advice a Fiduciary Risk?

William Meyer
December 3, 2014

It's impossible to put clients first if advisors offer subpar advice, or ignore the government program altogether.


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