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Investment Advisor June 2008 Mark Tibergien	Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book?
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?
Investment Advisor October 2008 Mark Tibergien	The Paradox of the Accountant Advisory practices operating inside of certified public accountant firms are growing but still remain a paradox.
Investment Advisor May 2006 Mark Tibergien	From Tactical to Practical: Fear Factor With all the focus on growth, are broker-dealers forgetting "safety first?" The best managed firms have made risk management a responsibility of everybody who works there and have implemented a systematic process for assessing both staff and clients.
Financial Advisor May 2010 Andrew Gluck	Private Equity Pitfalls Few advisors possess the resources required to research these deals.
Investment Advisor September 2009 Philip Palaveev	Win-Win Why a partnership is the best ownership structure for an advisory firm, and for clients.
Investment Advisor June 2009 Mark Tibergien	Formulas for Success: Clients Have Rights, But Also Responsibilities Advisors and their clients must alter their approach to future relationships.
Financial Advisor June 2011 Bruce W. Fraser	Rebuilding Trust -- Part 1 Though Bernard Madoff was carted off to jail, he still casts a long shadow over the financial advisory community and advisor/client relationships.
Financial Advisor February 2009 Bill Bachrach	Building Trust In The Age Of Madoff Advisors, it's your responsibility to place clients' money with a manager who won't steal it.
Financial Planning December 1, 2009 Steve Dalton	Doing the Diligence It has becoming glaringly clear, in the wake of Ponzi schemes, hedge-fund insider trading scandals and the severe volatility in the equity, credit and real estate markets, that wealth managers need to at the top of their game.
Financial Planning September 1, 2012 Bob Veres	Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation.
Investment Advisor May 2010	Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades.
Financial Planning May 1, 2011 Karen C. Altfest	Presumed Guilty Even if we think we've been successful for a long time, we never can stop presenting our credentials and accomplishments, and demonstrating our stability to those who are new. As you sit in prison, Bernie Madoff, thanks for the reminder.
Financial Planning April 1, 2012 Bob Veres	21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Investment Advisor November 2006 Bob Clark	Name Game Advisors who want to benefit from the more favorable economics of working with fewer -- but higher net worth -- clients will increasingly need to position themselves as investment managers or wealth managers.
Financial Planning August 1, 2013 Keith Johnson	How Advisors Can Rebuild Trust Five years after the meltdown, advisors still face a crisis of confidence.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor January 2009 James J. Green	What to Do Now? When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the smart, growing, most profitable advisors tend to do.
Financial Advisor November 2004 Evan Simonoff	Editor's Note Big government gets bigger, especially for the financial advisor. Unfortunately, many regulators barely understand the difference between stockbrokers, financial planners and investment advisors.
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
On Wall Street November 1, 2009	Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems.
Investment Advisor May 2006	Making the Future Happen The 25 most influential people in and around the investment advisory profession: Ron Roge... Dick Averitt... Tony Batman... Ben Bernanke... etc.
Investment Advisor March 2010 Mark Tibergien	Formulas for Success: What's a Young Advisor to Do? There is evidence that young advisors feel stymied in their efforts to acquire interests in their firms.
Investment Advisor August 2008 Mark Tibergien	Where to From Here? As advisory firms grow, so too does the need for more structure in how they do business.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
Financial Planning March 1, 2010	What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform.
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 October 2007 Mark Tibergien	Exit, Stage Left There comes that awful realization in every advisor's life when he finds himself in the netherworld between wisdom and obsolescence. As the leader of the business, how do you know when it's time to step aside?
Investment Advisor May 2010 James J. Green	Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do.
On Wall Street June 1, 2011	The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.
Investment Advisor February 2009 James J. Green	Future Shock, Under Control Many advisory firms are thriving despite the roaring bear market and deepening recession.
Investment Advisor February 2009 Bob Clark	The Perfect Ponzi While the Madoff debacle has been a disaster for thousands of investors, the timing couldn't be better for independent advisors.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
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.
Investment Advisor March 2007 Angela Herbers	Beyond the Numbers By increasing the level of service and the effectiveness of our financial advisory firm operations, we add value to the products and services we offer.
Investment Advisor March 2010 Ray Sclafani	The High Performance Coach: Building, and Restoring, Trust A coaching session on how the best advisors build trust with new -- and existing -- clients.
Financial Advisor September 2004 Tracey Longo	7 Sins Of Bad Business Planning Correcting these bad business practices might make your financial firm seem like heaven.
Financial Advisor April 2005 Anthony & Diliberto	The Foundations Of Trust Financial advisors need to ask about their prospects' values before they ask about their account values. Good questions are the key to a better advisory business.
Financial Advisor June 2005 David J. Drucker	The Ethics Of Paying CPAs For Referrals Sure, financial advisors can pay CPAs for referrals, but is it right?
Investment Advisor December 2005 Bob Clark	Why Bigger is Better This compensation and staffing study offers a preview of how financial advisory firms will be different five or 10 years from now.
Financial Advisor May 2005 Rebecca Pomering	How To Be A Good Boss Nourishing successful employees will help you business to succeed. Here are ten strategies to help you cultivate your employees.
Investment Advisor January 2010 Lewis Schiff	The Affluentialist: The Next Case of Madoff Disease The same seductive allure will still infect some advisors and clients with short memories and weak immune systems.
Financial Advisor July 2007 Richard B. Wagner	Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
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 July 2007	Frontline News The Next Five Years... Are CDOs Sneaking Added Risk Into Your Clients' Portfolio?... Therapy Meets Wealth Management... Real Estate Is More Important In A Riskier World, Study Says... etc.
Investment Advisor January 2008 Mark Tibergien	Think About These What do you think the future holds for your firm? The following 10 essential considerations have already begun to take root: No. 1: Managing growth... No. 2: Hiring professional management... etc.