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  • July 19, 2016
    Will You Recommend More ETFs in the Future?

    New research from Cerulli Associates says the use of exchange-traded funds at wirehouses has increased – and will continue to increase as fee-based advisory platforms grow. Apparently RIA ETF allocations as a percentage of the client portfolio are still higher, but in total wirehouses hold more of the ETF universe. Will you use more ETFs in the future?

    No Comments
  • July 12, 2016
    How Important is Insurance and Annuities to Your Practice?

    Life insurance and annuity providers want broker-dealers to sell more of their products, new research from Aite Group suggests. The research house says within the next two years, 61% of insurers will be distributing through this channel. But do broker-dealers want to deal with more providers and push more product?

    No Comments
  • July 5, 2016
    Does the Fed Stress Test Matter to Big-Bank Advisors?

    The biggest U.S. banks just passed the Federal Reserve’s yearly “stress test” on their ability to meet capital requirements, though Morgan Stanley was asked to resubmit its capital-reserve plan for the second year running. Bank of America, Merrill Lynch’s owner, faced a similar challenge last year. Do such events have a negative impact for FAs who work at these banks?

    No Comments
  • June 28, 2016
    How Bad is Brexit for American Investors?

    Britain's vote last week to leave the European Union saw an immediate and sharp fall for European equities as well as pound Stirling and euro currency markets. But what's the fallout for your clients?

    No Comments
  • June 21, 2016
    Should you block your clients from buying 'bad' products?

    Fidelity is making its brokers bar clients from buying unsuitable products, such as certain exchange-traded notes it deems bad choices. Suitability standards and fiduciary responsibilities are one thing, but if a client has their heart set on a specific investment, should you block them outright?

    Last Comment: June 21, 2016
    2 Comments
  • June 14, 2016
    What're the Chances a Lawsuit Can Stop the Fiduciary Rule?

    Earlier this month Sifma and a consortium of plaintiffs brought suit in federal court to block the Department of Labor's new fiduciary rule. The suit claims the DOL has no right to regulate the space. Now more suits, one led by the National Association for Fixed Annuities and another by the American Council of Life Insurers, have also been filed. But what are the chances any of these suits will be successful?

    No Comments
  • June 7, 2016
    What Will You Need to Compete in 10 Years?

    Financial technology is altering the industry. The question is whether it’s simply an enabler or a complete game-changer. In a decade what’ll it take to compete as a financial advisor?

    Last Comment: June 7, 2016
    1 Comment
  • May 31, 2016
    How Important is Your Cultural Background?

    Research from Spectrem Group asserts that one-fifth of investors want an advisor who shares their cultural background – such as race, religion or sex. How important have you found shared cultural background in your own practice?

    No Comments
  • May 24, 2016
    Are Beneficial Ownership AML Rules an Implementation Nightmare?

    Last week the Treasury Department's Financial Crimes Enforcement Network (FinCEN) released new rules which mean advisors need to identify not only their clients for anti-money laundering purposes, but also anyone who is a "beneficial owner" or influencer of any legal entity represented – like trusts or private companies. The rule applies to new accounts and the implementation period starts in July, ending in May 2018. But how easy will this new AML function be to perform?

    No Comments
  • May 17, 2016
    What's the Deal with Charles Schwab's Franchise?

    Charles Schwab's ambitious indie franchising initiative is approaching its fifth anniversary. Do you think:

    No Comments
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