Practice management

Forget satisfying lifestyle choices: Many investors will have to adjust their retirement expectations just to secure the necessities, according to a study by Sun Life.

“These customers are seeing their parents struggle,” an executive at Fidelity said. “I think that is making it poignant for them; they need to have a bigger focus on savings.”

What portfolio management activities provide the MOST value for your time/money/energy/attention, and which activities provide the LEAST value for your time etc.?

if you want to get the most out of your staff and in turn increase the growth trajectory of your business, you would be wise to view them as essential to your success.

Corporate pension plans have about $2 trillion in assets, and $200 billion to $400 billion could be in play in the next several years.

Optimism among small business owners fell in March, according to a survey by SurePayroll.

The Municipal Securities Rulemaking Board’s draft rule on gifts and gratuities could shut down muni advisers, the municipal market’s largest financial adviser is ­warning.

The nation’s stock exchanges and the Financial Industry Regulatory Authority filed a proposal to establish a new “limit up-limit down” mechanism that would limit swings in stock prices, during periods of volatility.

In a proposed new rule regulating the use of third-party service providers, the self-regulatory agency for broker dealers, says that outsourcing doesn’t relieve a broker-dealer from its regulatory obligations.

In the wake of the economic downturn that pummeled markets and investor accounts, one would think financial advisors would have learned that forging and maintaining extensive contact with their clients is critical to keep and finding new business.

Twenty-seven percent say they are “not at all confident” they’ll have enough money, according to EBRI.

Independent financial advisors are criticizing the Municipal Securities Rulemaking Board’s draft changes to its rule on gifts and gratuities, warning they don’t go far enough to eliminate conflicts of interest.

The House Financial Services capital markets subcommittee was expected to pass as early as late Tuesday eight bills intended to jump-start reform of the government-sponsored enterprises despite efforts by Democrats to oppose the measures.

A Financial Industry Regulatory Authority hearing panel expelled a California broker-dealer from the securities industry, for failing to implement and enforce an anti-money laundering program.

Along with cool-headed holistic advice, of course, investment management is probably the most important component of a financial planning and advisory practice.

In the past, the Protocol was used to ease the ability of the big firms to recruit. Now, however, the Protocol is also being used by advisors to break away on their own, and some Wall Street firms are taking steps to prevent that and weaken the Protocol in the process.

Company officials said the enhanced platform will help its advisors build better relationships with clients and grow their books of business by using a business valuation tool developed by FP Transitions and business assessment and coaching services from practice management consultant Business Health.

Only 13% of investors surveyed said they were very confident they would have accumulated money enough by retirement to live comfortably.

The company has appointed a new complex director in Dayton, Ohio, and added four new financial advisors in Beverly Hills and San Francisco.

Certified financial planners, instructors, sponsors and those looking to become certified this week are getting their first look at the updated requirements mandated by the Certified Financial Planners Board of Standards for the organization's ethics continuing education programs.