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INVESTING ESG MAR 01, 2015
Catch the impact investing wave now

It's surprising that most advisers remain agnostic about impact investing, even while client demand grows.

NEWS OPINION MAR 01, 2015
Heading to court, but which one?

Increasing transparency would go a long way in deflecting criticism that the SEC steers cases to its owns judges

NEWS BROKER DEALERS MAR 01, 2015
The loudest shouldn't speak for everyone

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.

YOUR PRACTICE PRACTICE MANAGEMENT FEB 20, 2015
What's good for individual investors is good for the whole industry

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.

YOUR PRACTICE FINTECH FEB 17, 2015
Have protocols in place to secure access to client data

When it comes to the client data for which you're responsible, protecting clients' privacy and finances must come first.

INVESTING EQUITIES FEB 08, 2015
Chasing performance is too risky

Time for advisers with clients whose portfolios are near a peak in stocks to preach caution.

NEWS OPINION FEB 08, 2015
In unity there is strength

Relying on a custodian — no matter how well intentioned — to take the lead in lobbying is not a sound idea

NEWS OPINION FEB 01, 2015
Responding to regulators' focus on fees

Advisers need to ensure they aren't taking advantage of their clients, either intentionally or unintentionally, and must explain and justify their fees.

RETIREMENT TAX FEB 01, 2015
Clients may need hand-holding this tax season

The IRS should re-examine its budgetary priorities and direct more of its shrinking resources to taxpayer guidance and assistance

YOUR PRACTICE PRACTICE MANAGEMENT JAN 26, 2015
Put your plan in place today

There's no reason for advisers to put off making continuity and succession plans, especially now that regulators are taking notice.