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Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.March 17
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The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.January 28
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The custodial giant is aiming to cut down on the time involved with opening accounts — which advisors often view as a drain.January 27
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The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.September 5
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Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.September 4
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The insurgents won seats allotted to represent small and large firms.August 21
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Think New Jersey’s proposed rule doesn’t apply to you? Think again.June 24
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As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.May 3
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A new consumer financial protection bill would expand duties for brokers and insurance providers.February 8
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State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.February 4
ColumnistFinancial Planning
