NASAA Proposal of Best Adviser Practices Receives Pushback
Critics say the proposal recommended to states goes beyond the SEC’s Reg BI and endangers annuity products and educational materials.
Tag: Adviser Fees
Wealth Manager Fined More Than $800,000 for Reg BI Violations
Of their advisers, 2 were also fined and 1 suspended for 6 months for account churning and excessive trading.
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A Need to Show Value
How advisers can justify their fees and help sponsors find other ways to cut costs.
Understanding Plan Fees, With Help from NAGDCA
A recently published fee guide can help plan sponsors navigate different recordkeeping, advisory and asset management options.
Complying With SEC’s Hypothetical Performance Marketing Rules
Advisers should use a process that makes it tough to fall out of compliance, not look for ways to dodge...
Pitching Value: Advisers Discuss How to Approach Client Fees
The modern plan adviser can use multiple options to meet plan sponsors’ personalized needs.