The Practice: Regulatory/legal issues
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August 16, 2017DOL Must Address Duty of Care in Fiduciary RuleA cost-effective way to ensure advisors have adequate skills is to improve research.No Comments
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August 15, 2017Is the DOL Rule Delay Good or Bad?
All things considered, do you view the latest Department of Labor fiduciary rule delay as good or bad for your practice? If you'd like, tell us why in the comment section below.
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August 15, 2017Why the DOL Rule Might Be a Boon for BrokersBrokers are gaining fee-based assets more lucrative than commission-based accounts.No Comments
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August 15, 2017Forget Robos -- Blockchain Could Revolutionize AdviceDistributed record-keeping technology can help wealth management firms secure data, improve auditing and more.Last Comment: August 15, 2017
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August 15, 2017Finra Expels Advice Firm and Bars CEO for FraudRep apparently sold firm-owned shares to clients at huge markups.No Comments
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August 11, 2017FAs and Investors at Odds in DOL Rule CommentsIndustry stakeholders want delay or repeal while investors beg for protection.Last Comment: August 14, 2017
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August 11, 2017SEC Targets AUM-Faking, Athlete-Swindling AdvisorsOne advisor allegedly claimed $580 million AUM without having any clients.No Comments
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August 10, 2017Biggest Wealth Firms Growing Despite Margin PressuresGlobal report says profit growth masks underlying revenue challenges.No Comments
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August 10, 2017Yet Another DOL Rule Delay Paves Path for Big ChangesAgency signals it will consider easing restrictions on prohibited transactions.Last Comment: August 15, 2017
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August 9, 2017Edelman Boss Reveals DOL Rule Impact at Top RIAAdvisors are using the rule to kick-start client conversations about fiduciaries.
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