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A recent proposal by the Fed to prevent automatic cancellation of derivatives should a bank flounder is viewed by many experts as insufficient to control systemic risk, where the real danger lies.
One FINRA theme for 2015 is “alignment of interests between firms and their customers.” What issues might this raise for fee-based advisors and their clients?
Don't let a strict compliance department scuttle the marketing and communications activities you need to gain new clients and keep your current ones happy. Yes, there are rules, but you can make things happen within them.
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Social Security and Medicare Workshop
With Elaine Floyd, CFP®
May 12–15, 2025
The Discovery Meeting Workshop: Transform Your Discovery Process
May 19–20, 2025