Fiduciary Rule

Check out what you need to be doing before the final DoL Fiduciary Rule. Read Fiduciary Rule: Enforcement by No Enforcement


Latest news, insights, and interpretation of the conflict of interest rule (COIR)

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Assessing Compensation Reasonableness

The 21st century ushered in a witch hunt to find and punish advisers...

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News & Stories

Complacency Is Weakest Cybersecurity Link: Dalbar/ThinkAdvisor Study

Despite the increasing fear Americans have of personal and financial information being stolen, most financial-services firms have been complacent on updating or implementing state of the art — or even basic — cybersecurity technology, according to a recent study by Dalbar/ThinkAdvisor entitled “The State of Authentication in Financial Services.”

ThinkAdvisor | 4/4/2018

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How Scottrade Could Have Avoided DOL Rule Charges

Scottrade made a bet that the Labor Department's fiduciary rule wouldn't be enforced. It lost. But, for now, there's another way firms can keep their sales incentives.

ThinkAdvisor | 2/23/2018

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Are Advisors’ Cyberdefenses Strong Enough? Dalbar-ThinkAdvisor Survey Seeks Answers

...“Authentication is now the primary defense, since the felons have already stolen the data,” said Lou Harvey, CEO of Dalbar, an independent financial-services market research firm, in an interview with ThinkAdvisor....

ThinkAdvisor | 1/19/2018

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Statistics About Indexing's Advantage May Be Lying To You: Financial Advisors' Daily Digest

A new study by Dalbar finds that passive funds achieve higher returns, but active fund investors are better behaved and may actually come out ahead over the long term.

Seeking Alpha | 2/28/2017


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