Regulation & Compliance http://wealthmanagement.com/taxonomy/term/6625/more en U.S. Prepares Bevy of Rule Proposals on Asset Management, Trading http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading <div class="field-byline"> Lisa Lambert </div> <div class="node-body article-body">The top two U.S. securities regulators on Tuesday outlined rule proposals ranging from asset management to swaps dealing they will take up in coming months, indicating the agencies will be at full throttle through election season to the end of the year.</div> <p><a href="http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading" target="_blank">read more</a></p> http://wealthmanagement.com/industry/us-prepares-bevy-rule-proposals-asset-management-trading#comments Industry Regulation & Compliance Wed, 28 Sep 2016 12:48:00 +0000 1338861 at http://wealthmanagement.com <p>SEC Chair Mary Jo White indicated the agency is working on stress tests for asset managers.</p> Copyright T.J. Kirkpatrick, Getty Images Reduce to Comply: How Regulatory Requirements and Service Standards Will Affect Your Practice Size http://wealthmanagement.com/regulation-compliance/reduce-comply-how-regulatory-requirements-and-service-standards-will-affect-yo <div class="field-byline"> Matthew Reynolds </div> <div class="node-body article-body">If you meet these four objectives with every one of your clients, you can feel comfortable that your minimum standard of care has been met. </div> <p><a href="http://wealthmanagement.com/regulation-compliance/reduce-comply-how-regulatory-requirements-and-service-standards-will-affect-yo" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/reduce-comply-how-regulatory-requirements-and-service-standards-will-affect-yo#comments Business Planning Regulation & Compliance Tue, 27 Sep 2016 16:45:00 +0000 1338371 at http://wealthmanagement.com kentoh/iStock/Thinkstock Regulatory Pendulum Gets a Huge Push From Wells Fargo http://wealthmanagement.com/regulation-compliance/regulatory-pendulum-gets-huge-push-wells-fargo <div class="node-body article-body">Former RBC Wealth Management CEO John Taft cautions lawmakers against using the Wells Fargo scandal to impose more burdensome regulations on financial institutions.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/regulatory-pendulum-gets-huge-push-wells-fargo" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/regulatory-pendulum-gets-huge-push-wells-fargo#comments Industry Commentary Regulation & Compliance Mon, 26 Sep 2016 19:20:00 +0000 1336921 at http://wealthmanagement.com <p>The former head of RBC Wealth Management cautions against more regulations in the wake of the Wells Fargo scandal.</p> Finding the Right Independent Record Keeper http://wealthmanagement.com/retirement-planning/finding-right-independent-record-keeper <div class="node-body article-body">It makes sense for plan sponors to periodically review their record keeping relationships.</div> <p><a href="http://wealthmanagement.com/retirement-planning/finding-right-independent-record-keeper" target="_blank">read more</a></p> http://wealthmanagement.com/retirement-planning/finding-right-independent-record-keeper#comments Business Planning Regulation & Compliance Retirement Planning Wed, 14 Sep 2016 15:13:00 +0000 1320151 at http://wealthmanagement.com Comstock/Stockbyte/Thinkstock Cerulli: Home Office to Usurp RPM as Preferred Advisor Model http://wealthmanagement.com/regulation-compliance/cerulli-home-office-usurp-rpm-preferred-advisor-model <div class="node-body article-body">From 2008 until now, the trend has been the exact opposite.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/cerulli-home-office-usurp-rpm-preferred-advisor-model" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/cerulli-home-office-usurp-rpm-preferred-advisor-model#comments Industry ETFs Regulation & Compliance Mon, 12 Sep 2016 16:51:00 +0000 1316661 at http://wealthmanagement.com <p>As the home-office model becomes more widespread, portfolios will become &quot;cookie-cutter,&quot; says Tom O&#39;Shea, associate director of Cerulli&nbsp;Associates.</p> Copyright Andreas Rentz, Getty Images DOL Rule a Bad Neighbor for State Farm http://wealthmanagement.com/blog/dol-rule-bad-neighbor-state-farm <div class="node-body blog-body">State Farm agents move away from financial advisory, an advisor is indicted for defrauding a former NBA star and more Americans plan to work through their traditional retirement years.</div> <p><a href="http://wealthmanagement.com/blog/dol-rule-bad-neighbor-state-farm" target="_blank">read more</a></p> http://wealthmanagement.com/blog/dol-rule-bad-neighbor-state-farm#comments Industry Legal Blogs Regulation & Compliance Retirement Planning The Daily Brief Mon, 12 Sep 2016 10:00:00 +0000 1314621 at http://wealthmanagement.com Industry Groups to SEC: Business Continuity Failures Are Not Fraud http://wealthmanagement.com/regulation-compliance/industry-groups-sec-business-continuity-failures-are-not-fraud <div class="node-body article-body">Continuity plans are more operational in nature, but a new SEC proposal could wrongly characterize planning deficiencies as fraud, industry groups argue. </div> <p><a href="http://wealthmanagement.com/regulation-compliance/industry-groups-sec-business-continuity-failures-are-not-fraud" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/industry-groups-sec-business-continuity-failures-are-not-fraud#comments Legal Regulation & Compliance Wed, 07 Sep 2016 15:24:00 +0000 1310111 at http://wealthmanagement.com trendmakers/iStock/Thinkstock Will Advisors Turn to Tech for DOL Compliance? http://wealthmanagement.com/technology/will-advisors-turn-tech-dol-compliance <div class="node-body article-body">Tech vendors thought the DOL rule would be a boon for business. But most advisors are happy with the systems they have in place. </div> <p><a href="http://wealthmanagement.com/technology/will-advisors-turn-tech-dol-compliance" target="_blank">read more</a></p> http://wealthmanagement.com/technology/will-advisors-turn-tech-dol-compliance#comments Industry Technology Regulation & Compliance Thu, 01 Sep 2016 09:00:00 +0000 1297831 at http://wealthmanagement.com Copyright Kenneth Batelman, Getty Images CRM Can Be Your Sword And Shield In A Fiduciary World http://wealthmanagement.com/regulation-compliance/crm-can-be-your-sword-and-shield-fiduciary-world <div class="node-body article-body">With the fiduciary rule, CRM technology is more than just a good idea. </div> <p><a href="http://wealthmanagement.com/regulation-compliance/crm-can-be-your-sword-and-shield-fiduciary-world" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/crm-can-be-your-sword-and-shield-fiduciary-world#comments Technology Regulation & Compliance Fri, 19 Aug 2016 15:44:00 +0000 1288741 at http://wealthmanagement.com Copyright Otto Greule Jr, Getty Images DOL Rule: An Opportunity to Reemphasize Value, Build Long-Term Success http://wealthmanagement.com/business-planning/dol-rule-opportunity-reemphasize-value-build-long-term-success <div class="node-body article-body">The DOL rule presents several opportunities for advisors to reassert their value, while simultaneously improving firm efficiency and revenue.</div> <p><a href="http://wealthmanagement.com/business-planning/dol-rule-opportunity-reemphasize-value-build-long-term-success" target="_blank">read more</a></p> http://wealthmanagement.com/business-planning/dol-rule-opportunity-reemphasize-value-build-long-term-success#comments Business Planning Client Relations Regulation & Compliance Practice Management Mon, 18 Jul 2016 17:12:00 +0000 1240221 at http://wealthmanagement.com Copyright Alex Wong, Getty Images