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Tagged with "Advisors"

Page 1 of 1

SEC Examiners to Focus on Fee Disclosure Issues

Posted on March 11th, 2019 at 1:45 PM
SEC Examiners to Focus on Fee Disclosure Issues

As continually emphasized by current and former SEC officials this month during the 21st Annual IA Compliance Conference, examiners will continue to review the fees that advisors are charging clients on certain investments, the adequacy of their fee disclosures, and how their investment choices impact investors’ bottom lines.

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Advisors Should Consider Costs and Fees When Joining an Independent Broker-Dealer

Posted on February 4th, 2019 at 4:18 PM
Advisors Should Consider Costs and Fees When Joining an Independent Broker-Dealer

Advisors considering transitioning away from wirehouses or regional brokerage firms often are tempted by the 90% payouts offered by independent broker-dealers. However, industry recruiter Mark Elzweig cautions advisors to treat those high payout incentives with skepticism because of the additional fees and costs involved.

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Wells Fargo Eliminates Bonuses For Selling Banking Products

Posted on January 17th, 2017 at 9:05 AM
Wells Fargo Eliminates Bonuses For Selling Banking Products

Wells Fargo Advisors has eliminated bonus compensation for advisors' sale of banking and lending products.

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SEC Examines Mutual Fund Leveraged Investments

Posted on February 5th, 2015 at 10:25 AM
SEC Examines Mutual Fund Leveraged Investments

The SEC has launched a review of mutual fund companies to monitor their leveraged investments.

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Imagination – and Legal Counsel – Helps Advisors Move to A New Firm

Posted on November 23rd, 2014 at 3:03 PM

A recent InvestmentNews article discusses why financial advisers, who are planning to move to a new firm, should adopt a creative visualization to make it happen.  

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RBC Advisor Settles Collusion Probe

Posted on November 7th, 2014 at 9:00 AM

The RBC has agreed to pay a large amount in restitution to settle a collusion probe while also promosing not to use anti-competitive practices in the future.

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Many Financial Advisors Are Not Planning for Succession

Posted on November 6th, 2014 at 10:01 AM

Why do you think only one fourth of advisors have a written succession plan?

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HighTower in the News for Defections

Posted on November 5th, 2014 at 5:17 PM

HighTower is taking hits in the form of high profile advisor and team defections. Original partners received special deals, but recent press reports state they have nothing to show for as a result.

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Page 1 of 1
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Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics
February 26th, 2021 at 1:32 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
February 25th, 2021 at 3:18 PM
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Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
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October 15th, 2020 at 10:02 AM
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