Advisor Custody Expansion
The Securities and Exchange Commission is considering expanding regulatory oversight to cover all assets in a client's portfolio, not just securities and funds.
Ways to Avoid Disclosure Violations
With the growing number of items that compliance teams must monitor, including both firm and representative disclosures, tracking regulatory compliance disclosures has become even more complicated than it used to be.
Portfolio Reallocations Are on the Way
Financial advisors are increasingly drawn to alternative investment strategies as a means of navigating an economic environment that appears fraught with potential pitfalls.
How to Protect Portfolios against Inflation
The most common questions for advisors today are about the best time to invest and ways of protecting portfolios from inflation. Most clients have faith in their advisors during this period of tumult; but any financial professional worth his salt, knows that there are choppy waters ahead.
Alternative Strategies for Fund Allocation
Today most financial professionals believe that retail investors should have access to alternative investments. Investment advisors recommend now that clients who meet accredited investor requirements should consider a shift towards alternatives.
Which Type of Financial Planning Is Most Sought After?
One of the most sought after financial services clients seek out from advisors is retirement planning. This service is popular among both older and younger consumers, according to a survey by the Granum Center for Financial Security.