Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Financial Planning February 1, 2010 Donald B. Trone	The Practical Fiduciary The steps required to create a fiduciary practice are similar to those of the financial planning process. Here's how to get started.
Financial Planning May 1, 2010 Donald B. Trone	Step Two: Strategize As discussions heat up between the SEC and FINRA surrounding a new fiduciary standard, let's take a close look at ways advisors can get ahead of the game.
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 September 1, 2011 Donald B. Trone	Code of Conduct The SEC has done little to define the baseline professional conduct associated with the proposed standard-an advisor's duty of care.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
Financial Planning August 1, 2010 Donald B. Trone	Step Four: Implement In this segment in our series, we are examining the steps of a traditional investment management process and demonstrating how a principles-based fiduciary standard can be incorporated into the process.
Financial Planning June 1, 2010 Donald B. Trone	Step Three: Formalize When upholding a fiduciary standard, ensuring your investment strategy is prudently planned and well-documented is vital.
Financial Planning June 1, 2011 Donald B. Trone	Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care.
Financial Planning February 1, 2011 Donald B. Trone	12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year.
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 October 1, 2010 Donald B. Trone	Last Step: Monitor A closer look at the final step in the investment management process: Monitor. Plus, clues about when it might be time to fire your money manager.
Financial Planning November 1, 2009 Donald B. Trone	Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another.
Financial Planning December 1, 2009 Donald B. Trone	Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care.
Financial Planning September 1, 2009 Donald B. Trone	Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice.
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 July 2012 Donald B. Trone	The Fiduciary-Steward If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards.
Investment Advisor September 2006 Ken Ziesenheim	Expert's Corner: The Fiduciary Audit File How to help clients who are themselves fiduciaries: Establishment of a fiduciary audit filing system is your best defense, and constitutes a best practice for fiduciaries.
Financial Advisor September 2006 David L. Lawrence	A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice.
Financial Advisor September 2012 Donald B. Trone	The Point Of Triangulation The coordinates of a higher professional standard of care include the point where leadership, stewardship and fiduciary governance intersect.
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.
Investment Advisor June 2006 Ken Ziesenheim	Expert's Corner: Playing Offense with an IPS A written Investment Policy Statement (IPS) can help build your financial advisory practice in surprising ways.
Investment Advisor January 2007 Ken Ziesenheim	The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
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 Advisor May 2008 Marla Brill	Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Planning December 1, 2009 Kristina Fausti	Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
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?
Financial Planning October 1, 2009 Donald B. Trone	Born to Lead What are leadership chracteristics unique to the role of financial advisor?
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
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 November 2012 Donald B. Trone	The Point Of Inspiration Financial advisors should take leadership roles in the lives of their clients.
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Investment Advisor March 2008 Melanie Waddell	Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?
Investment Advisor March 1, 2011 Jim Komoszewski	Creating a Business Plan (You Will Actually Use) The trick is to think small -- about 3x5 to be exact. A one-page plan that is implemented and executed is better than a 20-page plan that is being used to stabilize a wobbly desk.
The Motley Fool June 22, 2006 Dan Caplinger	Where's My Money? What to do when your fiduciary isn't getting the job done. In any situation involving potential or actual conflict, you need to know your rights. Taking action to enforce your rights is the best way to ensure that you receive the treatment you deserve.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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.
Registered Rep. March 5, 2010 Kristen French	Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
Financial Planning January 1, 2012 Donald B. Trone	Stepping Up There's something vital to financial planning that regulators can't regulate, legislators can't legislate and lobbyists can't influence. It's called leadership.
Financial Planning July 1, 2013 Glenn G. Kautt	For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences.
Financial Planning March 1, 2010 Donna Mitchell	More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think.
Investment Advisor September 2010 Melanie Waddell	The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
CFO Kris Frieswick	Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.