| Similar Articles |
|---|
 |
Investment Advisor
June 2007 |
Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc.   |
Investment Advisor
August 2006 |
Letters: Read the Rules Doesn't Anyone Ever Actually Read the Code?... Another Satisfied Customer...Olivia Mellan's Starting a New Radio Show... Mark Tibergien's Got a New Book... |
Financial Planning
November 1, 2006
Bob Veres |
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term. |
Financial Planning
October 2, 2007
Michael Dubis |
The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Financial Planning
February 1, 2010
Deena Katz |
Our Cosmic Glue Competing ideas may pit financial advisors against one another, but a much more powerful force should unite them, which is the desire to serve clients well. |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs. |
Investment Advisor
October 2005 |
Letters: Get Off it, Already A broker might act like a fiduciary, but he is not allowed to call himself one... The Question's Been Answered... Corrections... |
Financial Planning
June 1, 2008
Bob Veres |
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. |
Financial Advisor
March 2008
David Lawrence |
A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
Investment Advisor
August 2008 |
You've Got to Have Friends Letters to the Editor and upcoming events for those in the financial services industry. |
Financial Advisor
July 2006 |
Frontline News FPA Members Support Fiduciary Standards... NAPFA Honors Bradley For Exemption Stance... Focused On The Top, Focus Grows Again... Planners Stay Happy Despite Earnings Decline... etc. |
Financial Advisor
March 2012
Donald B. Trone |
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry. |
Financial Planning
January 5, 2008
Glenn G. Kautt |
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today? |
Investment Advisor
November 2006 |
Tell Us How You Really Feel Letters to the editor: Board to Death: Reloaded.. At a conference near you... Corrections... |
Investment Advisor
February 2010
Bob Clark |
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
Investment Advisor
November 2005 |
Letters: Follow-up on Fiduciaries Acting like a fiduciary and agreeing in writing to serve in a fiduciary capacity are two entirely different things... Making It Alone... Corrections... |
Financial Advisor
June 2010
Evan Simonoff |
Letter Letters To The Editor: Alternative investments... Restoring American Financial Stability Act of 2010... |
Financial Planning
December 1, 2012
Bob Veres |
Defining 'Real' Planning: Who Are The Real Financial Planners? If you re not doing the hard work of developing detailed plans for your clients, maybe you need a new job description. |
Investment Advisor
December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. |
Financial Advisor
July 2004
Tracey Longo |
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors. |
Financial Planning
May 1, 2010
Bob Veres |
In Their Own Words A fiduciary standard would be an important and powerful protection for the American consumer, and a giant step forward in the evolution of the financial advisory profession. |
Investment Advisor
August 2006
Claudio Pannunzio |
Four Rules to Drive Home Your Message What distinguishes highly successful financial advisors from less successful ones, regardless of their skills and industry knowledge? The answer is their ability to communicate the true value of their service offerings to their key constituencies. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Registered Rep.
October 23, 2006
John Churchill |
Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference. |
Investment Advisor
May 2010
Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. |
Investment Advisor
June 2007
James J. Green |
A Level Playing Field An interview with NAPFA's Dick Bellmer on the group's consumer education campaign on fiduciary standards. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
Registered Rep.
March 1, 2005 |
Responsibility Issues When is a broker or a financial planner a fiduciary? |
Financial Advisor
September 2006 |
Frontline News Optional Fiduciary Stance Challenged... Retired Widow Wins Fiduciary Case Against Advisor... Investors Still Expecting High Returns... Investors Want Choice... Advisors Optimistic About Growth Prospects... etc. |
On Wall Street
June 1, 2013 |
Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington. |
Registered Rep.
March 9, 2007
Christina Mucciolo |
What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards. |
On Wall Street
January 1, 2013
Elizabeth Wine |
10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year. |
Financial Advisor
April 2008 |
Frontline News Tumult At CFP Board's Ethics Commission... FPA Says No To FINRA Or SEC Oversight... Client Loyalty Counts For Only So Much... Investors Flock To Socially Responsible Investing... Sanders Morris Buys Half Of Leonetti & Associates... etc. |
Financial Advisor
June 2011
Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it. |
Financial Advisor
May 2007 |
Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs... |
Investment Advisor
March 2010
Bob Clark |
Clark at Large: Hope and Change Is financial reregulation moving in the right direction? |
Financial Advisor
November 2009
Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors? |
Financial Advisor
February 2007
Roy Dilberto |
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship. |
Financial Advisor
October 2009
Kristina Fausti |
A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now. |
Financial Advisor
September 2011 |
Letters A Different View... Reflections On The Profession... |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
On Wall Street
June 1, 2010 |
Five Questions With Gurinder Ahluwalia The President/CEO of Genworth Financial Wealth Management talks about his company's goals and services. |
Financial Advisor
April 2005
David J. Drucker |
Moving On How financial advisory firms are dealing with planners who leave, and take clients with them. |
Financial Planning
November 1, 2008
Robert Hoyt |
The New Normal Clients (as well as practitioners) are hoping to understand what their investment lives will look like when the economy settles down. How will we know when things are back to normal? And what will that normal be? |
Financial Advisor
March 2008
David J. Drucker |
Blueprint For Success Nowadays, an energetic financial planner can get up and running in three to five years. The industry has simply built a body of knowledge around starting an independent advisory firm and, independent planners have disseminated that knowledge freely. |
