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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.
June 27
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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.
June 22
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Our latest Industry Leadership Forum produced more questions than answers, but many participants expected changes in adviser compensation.
June 21
Employee Benefit News and Employee Benefit Adviser -
Some advisers may think the regulations won’t affect them. Here’s why they’re wrong.
June 14
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Worthy ideas debated on the fiduciary rule, retirement prep and annuities.
June 14
Wealth Logic -
“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.
June 14
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The group aims to provide planners with new technology focused on helping a firm become compliant, but it may cost them.
June 10
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With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.
June 10
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The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.
June 8
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The new regulations are “arbitrary and capricious," a trade organization asserts.
June 7
