It's surprising that most advisers remain agnostic about impact investing, even while client demand grows.
Increasing transparency would go a long way in deflecting criticism that the SEC steers cases to its owns judges
Time for advisers to tell industry groups pushing hard against a fiduciary rule that they're tired of the rhetoric — and that they're not acting in advisers' best interests.
The financial industry must take every action it can to weed out bad actors and rebuild investor confidence, including beefing up background checks for brokers.
When it comes to the client data for which you're responsible, protecting clients' privacy and finances must come first.
Time for advisers with clients whose portfolios are near a peak in stocks to preach caution.
Relying on a custodian — no matter how well intentioned — to take the lead in lobbying is not a sound idea
Advisers need to ensure they aren't taking advantage of their clients, either intentionally or unintentionally, and must explain and justify their fees.
The IRS should re-examine its budgetary priorities and direct more of its shrinking resources to taxpayer guidance and assistance
There's no reason for advisers to put off making continuity and succession plans, especially now that regulators are taking notice.
