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Continuity and Succession Planning: Because bad things happen to good advisories

Posted by Robin Green, Ann Schleck & Co. Head of Research on July 15, 2016 in

SEC has proposed a new rule that requires advisors to have a documented continuity and succession plan in place

Continuity and Succession Planning: Because bad things happen to good advisories

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Collective investment trusts rise in popularity as attractive alternatives to mutual funds

Posted by Blaine F. Aikin on July 06, 2016 in

Collective investment trusts have been capturing lots of attention and assets lately. CITs offer retirement-plan fiduciaries an attractive, generally lower-cost alternative to mutual funds.

Collective investment trusts rise in popularity as attractive alternatives to mutual funds

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Reverse Churning and How the DOL Addresses the Problem Under the New Fiduciary Rule

Posted by on June 30, 2016 in

What is Reverse Churning? This is the opposite of excessive trading in a brokerage account. These are illegal practices that pad an unethical advisors wallet.

Reverse Churning and How the DOL Addresses the Problem Under the New Fiduciary Rule

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Podcast: Talk 31 - DOL Rule from a Sales vs. Advisory Cultural Perspective

Posted by fi360 on June 27, 2016 in

Sales and advisory organizations are fundamentally different. That is the premise of the Labor Department's new conflict-of-interest rule.

Podcast: Talk 31 - DOL Rule from a Sales vs. Advisory Cultural Perspective

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Under new fiduciary rule, DOL has reason to pay attention to reverse churning

Posted by fi360 on June 24, 2016 in

Another reminder of the need to become well-versed on the fiduciary rule's conditions for rollover advice

Under new fiduciary rule, DOL has reason to pay attention to reverse churning

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