Regulation

The industry research organization LIMRA sees reasons for optimism despite flat overall sales figures in the first quarter.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

How can the industry find organic growth again? And where will the next generation of advisors come from? Bill Willis tackles both challenges, and discusses how they will affect compensation, as we elaborate on the issues discussed at our Recruiters Roundtable.

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

How technology could continue to disrupt financial planning.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

The advisor defrauded some 100 clients by persuading them to invest more than $71 million in 16 private funds offered by his two investment advisory companies, the SEC claims.

What should advisors expect from the upcoming regulation?