by Tracey Longo As the Securities and Exchange Commission pumps the brakes on securities enforcement, the North American Securities Administrators Association is preparing to roll out a regulatory standard of its own to help states better protect investors from financial advisors with conflicts of interest, an NASAA official said in an interview today. In […]
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In today’s regulatory landscape, capturing rollover assets is both a significant opportunity and a complex challenge for financial professionals and firms. Every year, billions of dollars are moved from employer-sponsored retirement plans into Individual Retirement Accounts (IRAs), offering financial professionals a chance to strengthen relationships, grow their practices, and demonstrate value. However, given the conflicts […]
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What the New Administration Means for Wealth Management The incoming administration, armed with a deregulatory mandate, promises to rewrite the rulebook for regulators and agencies. For wealth firms, this is both a challenge and an opportunity to navigate the evolving landscape of oversight. At the heart of these changes is Paul Atkins, President Trump’s likely […]
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The incoming administration, led by President-elect Donald Trump, will take office in January 2025. As with any transition of power, the industry anticipates policy changes to follow. At InvestorCOM’s recent webinar, wealth industry experts explored anticipated changes to regulatory frameworks, enforcement strategies, and compliance best practices under the new administration. Below are the key takeaways: […]
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by Craig Watanabe No one knows the future; however, anticipating possible change is advantageous. The definition of “proactive” is acting in anticipation of future events, so anticipating future changes is critical in being proactive. However, being proactive is not always best, and there are times when being reactive is better. Against this backdrop, this […]
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By David Reeve Engage younger investors on their terms With the pending intergenerational wealth transfer, financial advisors are transforming their investor engagement practices. The opportunity is enormous: in Canada, $1 trillion is set to move from Canadian baby boomers to their gen-X and millennial heirs during the decade ending in 2026, ISS Market Intelligence forecasts. […]
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