Fiduciary standard

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

This group of planners can thank the Department of Labor for the new business.

Even as more planners see opportunities in the rule, a large cohort are reconsidering their careers.

Explaining is as straightforward as using this phrase: Fiduciary rule.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

The rule is finally dragging traditional brokers into the modern era.

After the DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

After DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

The firm is among the first to detail how its 14,000 advisers will comply with the new regulation.

The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

"The trend is moving toward fee-based planning and removing commissions from the equation," says Artisan Advisor's Tim Smith.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

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