Nerd's Eye View
JULY 7, 2023
Also in industry news this week: A recent survey indicates that a strong majority of financial advisory clients have maintained their trust in their advisors despite the investment market setbacks experienced last year A report from the SEC shows that a majority RIAs have mandatory arbitration clauses in their client agreements, a practice that has (..)
CFO News Room
DECEMBER 23, 2022
While RIA M&A activity has been red hot during the past couple of years, a survey suggests that advisors are expecting lower valuations in 2023. Roth conversion cost averaging for retirees who have not reached RMD age or increasing contributions to tax-advantaged accounts for clients who are still working).
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CFO News Room
DECEMBER 17, 2022
The Commission might also explore what types of experiences meet the Experience requirement, as currently positions focused directly on financial planning work (e.g., paraplanner) count for the same number of hours as those within a planning firm but with little engagement on actual financial planning (e.g.,
CFO News Room
NOVEMBER 8, 2022
And the four pillars are the financial plan, risk management, so just checking all their what-if scenarios that something…a husband dies, wife dies, long-term care, disability. And then we look at estate planning. And then in the fall, we look at tax planning. Is it at 1.5%? .” Cean: Yep, yep.
CFO News Room
NOVEMBER 26, 2022
A former DoL official has previously suggested that related changes could include amending the five-part fiduciary test, making adjustments to Prohibited Transaction Exemption 2020-02 (PTE 2020-02) , and reexamining existing PTEs, such as PTE 84-24 (which permits certain commissionable insurance sales in retirement plans).
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