Clients Are Stressed and Turning to CFPs for Help

Apr 21, 2020

Nearly eight in 10 CFP professionals report an increase in the volume of calls from their clients, as the coronavirus pandemic continues to wreak havoc.

Keeping Everyone Motivated During the Pandemic

Apr 20, 2020

The typical financial advisor is at least 20% off their game during this dangerous crisis. That provides plenty of opportunity.

Sometimes It Takes a Crisis—Is It Time to Tweak Your Business Model?

Apr 20, 2020

It makes no sense to be working harder than ever for clients but be paid less.

SEC Settles With Merrill, Two Others Over Share Class Conflicts

Apr 20, 2020

The orders will be the last in the commission’s Share Class Selection Disclosure Initiative, which returned more than $139 million to investors.

XYPN Submits Final Brief in Suit Challenging Reg BI

Apr 15, 2020

Next, judges in the 2nd U.S. Circuit Court of Appeals will hand down a ruling in the group's case against the SEC. A favorable decision for the network could strike down Reg BI and lead to improved consumer protections.

Transparency With Diana B.: Life in Lockdown During COVID-19

Apr 15, 2020

U.S.-based financial planner Hui-chin Chen was in Saint Lucia, where her husband was stationed for work, when the pandemic locked down the country, stranding her abroad. That may seem ideal, but it adds complications as she struggles to stay sane...

Give Your Remote Work Environment a Security Checkup

Apr 14, 2020

While you may feel confident with cybersecurity in the office, home is likely less secure by default.