The investor watchdog talks to ThinkAdvisor about why SEC Chair White is a ‘bad SEC chair for investors’ and why the Social Security trust fund isn’t as important as many think.
How Advisors Should Prepare for the DOL rule in the Trump Administration
There can be changes around the edges, or changes at the core, but I expect with certainty that there will be uncertainty for a while.
Cuban lessons for US wealth management
Mel Lagomasino, CEO of WE Family Offices, on always acting in the best interests of clients
In DOL/Post-DOL Fiduciary World, RIAs Need to Re-Differentiate
Tens of thousands of new fiduciary brokers will soon fly the fiduciary flag, as Merrill tells the country that the thundering herd will give all its customers – retirement and nonretirement accounts alike – ‘best interest’ treatment.
The October Surprise and Campaign for BICE
Will brokerage firms stick with commissions and service retirement accounts through the best interest contract exemption (BICE) or abandon commissions and offer “fee-based” retirement accounts?
Morgan Stanley and Fiduciary: Never the Twain Shall Meet?
With Fiduciary September 2016 just complete, two unrelated items on October 3rd – one a regulatory action by Massachusetts and the other a Wall Street Journal Op-Ed – remind us why Fiduciary September exists and what a strong sales culture can mean.
