Added on September 2016 in Form an RIA
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Summary: According to a recent survey conducted by WealthManagement.com and Advicent, half of advisors expect the ruling will force them to change their policies and procedures, complicate compliance and create more paperwork.
Added on August 2016 in Form an RIA
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Summary: The American Retirement Association announced Tuesday that it has picked fiduciary experts Don Trone, CEO of 3ethos, and Peter Swisher, senior vice president, National Sales at Pentegra Retirement Services to help develop ARA’s fiduciary education and best practices program for advisors.
Added on August 2016 in Form an RIA
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Summary: Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.
Added on August 2016 in Form an RIA
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Summary: The majority of financial advisors believe they’ll have to change how they do business in light of the Department of Labor’s fiduciary rule, but few are aware of their firms’ plans to comply with the rule designed to force retirement brokers to put clients’ interests ahead of their own, according to a quarterly survey from Nationwide Retirement Institute.
Added on August 2016 in Form an RIA
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Summary: There's definitely a market for digital tools to help advisers navigate expected fiduciary requirements. But providers should tread carefully with their approach, as contemplating regulation-oriented tech upgrades drudges up bad feelings among some advisers about the rule.
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