The Ethicist: Principles for Serving Clients Post-DOL Rule
The financial services profession can present an array of ethical quandaries and predicaments. The American College of Financial Services offers insight and perspective with...
The Impact of Retirement Age Uncertainty on Retirement Outcomes study encourages planners to consider modeling early retirement to ensure clients are prepared.
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The financial services profession can present an array of ethical quandaries and predicaments. The American College of Financial Services offers insight and perspective with...
With finalization of the U.S. Department of Labor’s new fiduciary rule quickly approaching, there are four critical letters all advisors should know: B-I-C-E. Short for "Best...
Along with the development of the Department of Labor’s fiduciary rule and its myriad of compliance nuances also comes a new type of prohibited transaction exemption (PTE)....
Compliance regulations in the financial services industry protect investors and prevent disasters. But even with powerful regulatory agencies like the SEC, IRS and Department of...
Note: this blog was updated on September 6, 2016.
When news of the U.S. Department of Labor’s new fiduciary rule broke, reactions throughout the financial services profession were...
The U.S. Department of Labor’s new fiduciary rule provides credible financial advisors an immediate opportunity to differentiate themselves from competition when prospecting new...
The U.S. Department of Labor’s new fiduciary rule is poised to change the financial services landscape dramatically, however the rule does not draw bright lines of acceptable and...
U.S. Department of Labor's Conflict of Interest Rule is a hot and controversial topic in the financial services profession. Since the rule was finalized in April 2016, its...
Understanding the new U.S. Department of Labor Conflict of Interest Rule requires context. Without context, we may be quick to dismiss this rule as overreaching or reactionary....