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Commissioners Question SEC's Rulemaking Agenda

Commissioners Question SEC's Rulemaking Agenda
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

Max Schatzow , Elad Roisman , Donald Trump , Gary Gensler , Hester Peirce , Exchange Commission , Office Of Information , Regulatory Affairs , Division Of Examinations , White House Office Of Management , White House , President Donald Trump , எலத் ரோஸ்மேன் , டொனால்ட் துருப்பு , ஹெஸ்டர் பியர்ஸ் , பரிமாற்றம் தரகு , அலுவலகம் ஆஃப் தகவல் , ஒழுங்குமுறை வாழ்க்கைத்தொழில்கள் , பிரிவு ஆஃப் தேர்வுகள் , வெள்ளை வீடு அலுவலகம் ஆஃப் மேலாண்மை , வெள்ளை வீடு , ப்ரெஸிடெஂட் டொனால்ட் துருப்பு ,

Can AUM-Based Advisors Be True Fiduciaries?

Can AUM-Based Advisors Be True Fiduciaries?
During a recent Inside Wealth panel, advisor Rick Ferri argued that AUM-based advisors aren t incentivized to put clients first, while attorney Max Schatzow stressed advisor compensation for value isn t easily quantified. Either way, advisors should expect more client scrutiny over the price of advice.
Financial advisors who charge clients a percentage of assets under management are too often susceptble to conflicts of interest between their business model and what s best for their clients, argued Rick Ferri, an investment analyst and founder of Ferri Investment Solutions.
For services other than portfolio management, an AUM-based fee can be incompatible with being a true fiduciary, Ferri argued during a panel discussion at this week’s Inside Wealth Virtual Conference. ....

Max Schatzow , Samantha Russell , Rick Ferri , Ferri Investment Solutions , Ferri Investment , Inside Wealth Virtual , Inside Wealth , சமந்தா ரஸ்ஸல் , ரிக் ஃபெர்ரி , ஃபெர்ரி முதலீடு தீர்வுகள் , ஃபெர்ரி முதலீடு ,

The SEC's Ad Rule: New Strategies; New Risks

The SEC s Ad Rule: New Strategies, New Risks
Advisors will have to take the good with the bad when it comes to using client testimonials but they can be strategic.
The May 4 implementation of the SEC’s so-called Ad Rule will give financial advisors new marketing options with the ability to solicit client reviews and recommendations and direct prospects to them.
While negative reviews from disgruntled clients on sites like Yelp, Google and Angi (formerly Angie’s List), have been the bane of advisors for years, they’ve been easy to ignore. Now, advisors’ ability to solicit positive testimonials for those sites and link to them in their marketing plans may bring added concern about complaints left there by disgruntled ex-clients. ....

Max Schatzow , Samantha Russell , Michael Kitces , Ryan Frailich , Twenty Over Ten , Deliberate Finances , New Orleans , Buckingham Strategic Partners , சமந்தா ரஸ்ஸல் , இருபது ஓவர் பத்து , புதியது ஆர்லீயந்ஸ் , பக்கிங்ஹாம் மூலோபாய கூட்டாளர்கள் ,

SEC Ad Rule to Take Effect on May 4 | Wealth Management

SEC Ad Rule To Take Effect in May
After some doubt, the SEC s final rule allowing client testimonials will go into effect May 4. I’m sure there’ll be people who want to press it and hit the gas pedal.
The SEC’s rule on marketing and advertising will officially go into effect on May 4, after
being published in the Federal Register Friday morning. The publication of the new rule governing how and when advisors can use testimonials and endorsements in advertising comes more than two months after the
The rule updates were intended to modernize “traditional advertising and solicitation regimes, which have not been amended for decades,” despite advances in fintech and financial markets, according to former Chair Jay Clayton, who announced the finalized changes on Dec. 22 of last year. ....

Max Schatzow , Caroline Crenshaw , Hester Peirce , Allison Herren Lee , Jay Clayton , Securities Group , Federal Register Friday , Chair Jay Clayton , Investment Management , Acting Chair , கரோலின் கிரேன்ஷாவ் , ஹெஸ்டர் பியர்ஸ் , அல்லிசன் ஹெரன் லீ , ஜெய் களிமண் , பத்திரங்கள் குழு , கூட்டாட்சியின் பதிவு வெள்ளி , நாற்காலி ஜெய் களிமண் , முதலீடு மேலாண்மை , நடிப்பு நாற்காலி ,

DOL Fiduciary Rule's Impact Will be Felt by Advisors, Brokers

DOL Fiduciary Rule’s Impact Will Be Felt by Advisors, Brokers
The Biden administration announced last week the fiduciary exemption would take effect as scheduled, but legal experts argue the rule has some serious teeth that will impact client relationships with advisors and broker/dealers.
As the Department of Labor said Friday that the fiduciary exemption finalized in the waning weeks of the Trump administration would go into effect Tuesday, Feb. 16, as scheduled, it also indicated that the department would release “related guidance” in the days ahead for investors, plans and providers alike. This has left industry participants and experts looking ahead to what form this guidance may take. ....

A Valerie Mirko , Max Schatzow , Fred Reish , Georgew Bush , Bradford Campbell , Securities Group , Baker Mckenzie , Department Of Labor , Investment Management , Investment Advice , Faegre Drinker , Partner Bradford Campbell , Valerie Mirko , Best Interest , பிராட்போர்டு கேம்ப்பெல் , பத்திரங்கள் குழு , ரொட்டி சுடுபவர் மகெந்ஸீ , துறை ஆஃப் தொழிலாளர் , முதலீடு மேலாண்மை , கூட்டாளர் பிராட்போர்டு கேம்ப்பெல் , வலேரி மிற்கோ , சிறந்தது ஆர்வம் ,