Fiduciary Rule

Compliance with the fiduciary rule is both essential and complicated.

CEO Paul Reilly says the firm has hired new compliance professionals and is also working with outside attorneys in order to prepare for new regulations.

With clients anxious after all the lobbying, advisers have some preparing to do.

With clients anxious after all the negative ads, advisers have some explaining to do.

With clients anxious after all the negative ads, advisers have some explaining to do.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

5 steps for advisers to take in the next six months to ensure post-DOL success.

Don’t become commoditized in the wake of the fiduciary rule; be the disruptor.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

Regulatory and industry changes are driving some advisers to rethink their business model, writes recruiter Mark Elzweig.

It’s time for professional planners, as opposed to sales agents, to define themselves accurately in the public mind. To do it, you need to use key words and phrases with crystal clarity.

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

Our latest Industry Leadership Forum produced more questions than answers, but many participants expected changes in adviser compensation.

Some advisers may think the regulations won’t affect them. Here’s why they’re wrong.

Worthy ideas debated on the fiduciary rule, retirement prep and annuities.

“There are so many business models offering financial advice, it’s almost impossible for a layperson to distinguish between advice and sales,” a panelist says.

The group aims to provide planners with new technology focused on helping a firm become compliant, but it may cost them.

With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.

The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.

The new regulations are “arbitrary and capricious," a trade organization asserts.