From Financial Plannning
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Summary: Most financial planners are understandably loath to crack open a client’s legal documents, considering them outside their area of expertise.But in every estate planning document there are a number of points that planners can identify to review with clients. Here's what they should look for...
From Financial Planning
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Summary: Big data may be a double-edged sword for advisers considering upgrading their marketing department.
From SEI
Added on May 2016 in M&A Issues
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Summary: There has been a lot of talk that the DOL fiduciary rule will push advisors to merge or be acquired by larger firms. In fact, a few firms have started to advertise that they are looking for independent firms to come into their fold, promising scale and efficiencies –especially around compliance – that smaller firms (and individual advisors) can only dream about.
From InvestmentNews
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Summary: To adapt a Charles Dickens quote from “A Tale of Two Cities,” “It is the best of times; it is the worst of times.” It is the best time to be in the financial planning business, and it is the worst time to be in the financial planning business. There is a revolution in the financial services industry; fortunately, there is no guillotine involved. As we review our practices in the light of transformation, is it the best of times?
From Think Advisor
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Summary: The most appealing position statements in financial services businesses profess a freedom from conflicts of interest. At the same time, this position may be the most difficult to prove. The Department of Labor's newly released Conflict of Interest rule is poised to raise the bar on the fiduciary standard even higher.
