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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.   |
Registered Rep.
June 3, 2010
Kristen French |
For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before. |
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, 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
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
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. |
Registered Rep.
December 3, 2009
Kristen French |
Shapiro Calls For Aggressive 2010 Reform Agenda In her remarks before the Consumer Federation of America, SEC Chairman Mary Schapiro reiterated her commitment to creating a "strong fiduciary standard" for all securities professionals. |
Financial Advisor
December 2008
Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. |
Financial Advisor
September 2006
David L. Lawrence |
A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice. |
Financial Planning
December 1, 2010
Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. |
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
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. |
The Motley Fool
November 15, 2010
Dan Caplinger |
Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
CFO
May 8, 2006
Randy Myers |
Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs. |
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. |
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. |
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. |
CFO
December 1, 2011
Russ Banham |
Lifting the Lid on 401(k) Fees The coming mandatory disclosure of plan fees could give participants a nasty shock. |
The Motley Fool
October 30, 2009
Dan Caplinger |
Why Government "Help" Could Become Your Next Nightmare The government wants brokers and other financial professionals to act in their clients' best interest, but if you're a client, you might well be much happier keeping things exactly the way they are now. |
BusinessWeek
June 7, 2004
Anne Tergesen |
Does Your 401(k) Cost Too Much? Fees for your 401(k) retirement plan can take as much as 3% of the account balance each year. Watch out for conflicts of interest. |
Financial Advisor
November 2010
Marshall J. Cobb |
Lifting The Revenue-Sharing Fog Regulatory and legislative actions currently being pondered will dramatically alter revenue-sharing practices in 401(k) plans. |
Registered Rep.
July 8, 2010
Michael Stillman |
For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors. |
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. |
Registered Rep.
May 26, 2005
Kristen French |
Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits. |
The Motley Fool
December 1, 2006
Mary Dalrymple |
Frightening Fine Print Have you checked your 401(k) fees? What looks like a small difference could have big consequences. |
CFO
December 1, 2009
Randy Myers |
A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well. |
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. |
Investment Advisor
March 2007
Saxon & Breyfogle |
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. |
Financial Advisor
May 2011
Daniel Bernstein |
The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take. |
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. |
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. |
Investment Advisor
April 2008
Melanie Waddell |
Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors. |
Investment Advisor
November 2006
Melanie Waddell |
Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note. |
Investment Advisor
August 2010
Bob Clark |
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely. |
Financial Advisor
December 2004
Tracey Longo |
The Doctor Is In Advisor Gregory Kasten, a former anesthesiologist, has built a rare fiduciary practice in the 401(k) market. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
The Motley Fool
September 6, 2006
Dan Caplinger |
Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself. |
Investment Advisor
October 2007
Robert F. Keane |
Transparency and Respect Full disclosure and a willingness to have the "hard conversations" are the cornerstones of Jim Dew's approach to his clients and the financial planning profession. |
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. |
Investment Advisor
March 1, 2011
Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators |
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. |
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. |
Entrepreneur
October 2009
Rosalind Resnick |
Conquering Your Fear of Fees Savvy investors know to read the fine print about money-management charges. |
Investment Advisor
February 2007
Melanie Waddell |
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA. |
Financial Advisor
June 2010
Stephen K. Davis |
What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors. |
Investment Advisor
January 2009
Elizabeth D. Festa |
Fixing Fiduciary Failings The financial services world may finally be catching up with the fiduciary standards that Blaine Aiken, CEO of fi360, a Pittsburgh-area based firm that offers education and management support for the investment fiduciary profession, has been espousing for years. |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Investment Advisor
July 1, 2011
Tom Lydon |
ETFs At Last: The Future of 401(k)s Exchange-traded funds are beginning to attract greater attention for participant-directed individual account plans. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
