Tag: Compensation

Acknowledging that “smart regulation is only as effective as its implementation,” the DOL has issued extensive guidance for advisers and providers seeking to comply with the new conflict...

The company is keeping other aspects of its response to the rule under wraps for now, including operating and product modifications likely to be required on the institutional...

There are many anticipated avenues of disruption associated with the DOL fiduciary rule, but clearly the most direct influence will be felt at the point of sale of...

After explosive profits in 2014, they declined sharply in 2015.

Working at the “only Millennial Top 10 bank” has its perks, says Yvette Butler, President of Capital One Investing—perhaps most notably the freedom to do things a little...

A white paper from DST kasina LLC details how the DOL’s fiduciary rule could affect asset managers.

A new cut of the Fidelity RIA Benchmarking Study shows many in firm leadership positions struggle to understand and articulate practice value. 

Over the last decade, financial advisers have been moving from commission- to fee-based models.

The managing director of corporate relations for the CFP Board says there are many ways to successfully recruit Millennials and Gen Xers into an advisory practice—what matters most...

Pensionmark debuted a variety of new and enhanced adviser deliverables aimed at improving and streamlining various business, investment and client service processes. 

The J.D. Power 2015 U.S. Financial Advisor Satisfaction Study notes a drop in loyalty among financial advisers toward their investment firm employers and partners.

A majority of advisory firm members are not satisfied with their compensation or their benefits packages, according to the “2015 Trends in Adviser Compensation and Benefits Study.”

A new LIMRA study finds many financial advisers prefer to do business with financial product wholesalers who work together as a team across internal and external distribution channels.

The Internal Revenue Service (IRS) is hosting a webinar about the definitions of compensation used in retirement plans.

Sales team facing tough times? You’re not alone: advisers almost universally agree that business growth is a major challenge today, according to the Financial Planning Association (FPA).

Massachusetts Mutual Life Insurance Company (MassMutual) has agreed to settle a lawsuit brought by a 401(k) plan sponsor alleging the company breached its fiduciary duties when it received...