Brian Himmelman helps clients weigh cost and value in their planning decisions
Dealing with wave after wave of regulatory change has become a reality for the investment industry. From disclosure for mutual funds to the vast undertaking that is the client relationship model, phases 1 and 2, advisors and their firms have greatly increased the time, money and expertise they spend on compliance issues. And it appears […]
Advisors selling mutual funds must soon take clients through "Fund Facts"
Mutual fund rules are coming to exchange-traded funds
Data collection and transmission are key elements of CRM2. Map out your digital strategy
Preparation is still the best way to avoid hearing from obsi
The new cost and performance reports mark a fundamental shift
By yearend, firms must report market value, position cost and DSCs
At the midpoint of the three-year CRM2 project, the most challenging reforms are yet to come
Firms can use the new CRM2 requirements to connect more fully with their clients