Honor both your employment letter and the spirit of your existing agreements.
Failure to follow the applicable rules can turn into a public enforcement action.
Regulator seeking common-sense changes to gift and non-cash comp rules for members.
Most 'elite' advisers are looking to grow through personalized service to ultra-wealthy and institutional clients.
Study these three lessons and apply them to your business.
Firms embracing automated advice are positioning themselves to capture new client segments. By 2018, nearly one-third of registered investment advisers will have a robo-offering.
Firms reluctant to sell now may struggle later to find a merger partner to survive.
Clients place their trust in us to act in their best interests, which means we should always do the right thing.
Plus: Breaking the active management habit, the active-passive research conundrum, and recalculating retirement savings calculators
Robos can enlarge the advisory business as a whole, expanding the pools of both providers and users of advice.
SEC ruling includes a civil penalty of $600,000 for Ms. Bennett and $2.9 million for Bennett Group.
An adviser's job isn't to offer a random selection of options; it's to assess where clients say they want to go and where they are in that journey.
Once-plain-vanilla funds due for a serious makeover, meaning now is the time to carefully assess cash options.
Advisers should test their emergency plans periodically to make sure they are in compliance with Securities and Exchange Commission rules.
Under the SEC, pay-to-play rules kick in for RIAs who contribute to a candidate for office who could influence the selection of an adviser for state accounts.
Invest in Others and <i>InvestmentNews</i> recognize charitable works of advisers and corporate programs for employees.
The national advisory firm works with institutional clients such as defined-contribution and traditional pension plans.
Labor Department's regulation will not take effect Dec. 1.
Unless firm can spend $200,000-plus a year, don't keep most compliance functions in-house.
