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Will the regulatory push for a uniform fiduciary standard die on the vine? Brokers may not be best equipped to predict regulatory outcomes, but most of them do not expect such a standard to be implemented, according to survey results released...
Family teams are common in the wealth management industry and getting more so. Hiring family members can be an easy solution to finding a trustworthy partner and a successor. But there are drawbacks.
How will new financial regulations wending their way through Congress affect individual retail financial advisors and broker/dealers, independent or otherwise?
If you visit William Mundy at his Blue Bell, Pa. office, chances are good you’ll find him with his ear pressed to the phone, pitching his services to people he’s never met: That’s right, cold calling.
Thanks to Chairwoman Mary Schapiro, if your clients' money market funds are threatening to break the buck, the board of the fund may elect to suspend redemptions.