Improve Plan Sponsor Conversion & Increase Revenue with ParticipantDirect
How Does This Help You? How This Helps Participants? How This Helps Plan Sponsor? We always explain to our clients that Larkspur-RiXtrema apps have two goals: Help you win more plans Help you make more revenue from those plans by providing valuable services To help you win plans (goal #1) we enhanced Larkspur Executive with...Read More
5 Components To The Form CRS Examinations
What is the OCIE expecting by June 30th? 5 Compliance Components in the Form CRS Examinations There’s a lot more to learn about the CRS Form Form CRS may be the most challenging hurdle for Registered Investment Advisors and Broker-Dealers. Small firms, especially, may struggle to meet the Customer Relationship Summary because they do not...Read More
How Does The COVID Crisis Mix With Corporate Debt
Look to the past, lest ye beware What do the Rating agencies say? Bond Market History doesn’t offer much guidance In previous articles, Yon and I analyzed the threat of the corporate bond market and the potential risk for heavily-leveraged corporations to fall into junk-bond territory. Indeed, it’s easy to point at oddly inflated graphs...Read More
Risk Alerts Regarding Reg BI For Broker-Dealers And Investment Advisers
Two Risk Alerts were released by The SEC’s Office of Compliance Inspections and Examinations (OCIE) for Reg BI and Form CRS on April 7, 2020. The Risk Alerts were issued to inform broker-dealers and investment advisers about the scope and content of initial examinations after the compliance date of June 30 for Reg BI and...Read More
Journey Through The Liquidity Trap
The Pandemic is a Supply Shock It’s a TRAP! A Liquidity Trap! So, who provides the growth? Odysseus’ Choice More risk scenarios in Portfolio Crash Test Pro (Banner Below) In my native state, North Carolina, protestors gather to resist the Governor’s stay-at-home order. Regardless of your political leanings, we can agree that such gatherings are...Read More
Reg BI Risk Alerts For Broker-Dealers And Investment Advisers
Two new Risk Alerts: Don’t Wait to Become Compliant Forgive us if you’re getting sick of reminders that Reg-BI is not being delayed by the SEC. As Luke wrote this week, the Reg-BI train can’t stop and is arriving soon, and Colin is writing so much about Reg-BI that it’s starting to come out of...Read More
The Reg BI Train Can’t Be Stopped And is Arriving Soon
With the past few months now in the rearview mirror, it’s looking more clear than ever that Regulation Best Interest from the SEC doesn’t seem to be going anywhere. There has been plenty of speculation that this regulation might not make the distance and follow the same path as its predecessor, the DOL rule. However,...Read More
What Happens When Money Falls From The Sky?
The CARES ACT is not TARP CARES will help with the restart in a few ways Americans are getting $1200 this month but what about inflation? Short-run Economic Effects of the CARES ACT So…modest to say the least. Hold onto your seats, folks. It is about this time that my family and friends come to...Read More
4 Habits To Forget Fear And Seize Growth From The Jaws Of this Crisis
This is not just another post in which I convince you that the Coronavirus is a tremendous threat or that to say home is a heroic mission. No, I don't need to convince you that the Coronavirus is a real danger, and some of us were already hermit introverts.
Sell Plan Sponsors From Home on Autopilot: LE PRO Registration is Open!
This is Yon Perullo of Larkspur-RiXtrema. For months we have been working on LE PRO to help you sell retirement plans on autopilot, using automated email campaigns. And with all the latest events LE PRO can grow your business better than any traditional selling techniques. Here are key points of the offer: LE PRO contains...Read More