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Nevada Makes Its Own Fiduciary Rule - Financial Advisor IQ (registration)
Nevada's fiduciary rule , going into effect July 1, will extend the fiduciary standard to all financial planners , according to the legal news and analysis website. The Nevada Senate bill, signed off on June 2 by Nevada Gov. Brian Sandoval, also modifies.

How Super Branches Spell Opportunities for Advisors - InvestmentNews
With the rules about fiduciary conduct so unsettled, many advisors will find extra value in the hands-on compliance expertise provided by Super Branches. Culture: While often unstated, the specter of working ... Unlike advisors who affiliate.

Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers - The National Law Review
Broker-dealers and investment advisers with clients in Nevada should review the fiduciary obligations contained in new amendments to the Nevada financial planner statute that go into effect on July 1, 2017. .... representatives, except for advice.

This New Rule Makes It Harder for Your Broker to Take Advantage of You. Here's What You Should Know - Money Magazine
What Protects Investors More Than The Fiduciary Rule Forbes.

3 Things to Know About the Latest Fiduciary Rule Delay - Money Magazine
DOL Fiduciary Rule Delayed - Important Compliance Takeaways The National Law Review.

Fears EU data rules could sabotage PI policies
The introduction of new data protection rules could have a knock-on effect on advisers ... the Financial Ombudsman Service would treat such cases however, especially where a customer has requested their information be destroyed.” The Financial Conduct.

How one financial adviser lands seven-figure accounts - MarketWatch
Do you know the “three-foot rule ”? Wealth adviser David Edwards, president and founder of Heron Wealth, which provides financial planning, investment advice and estate planning to individuals and families across the U.S. and in Europe, cites it as one.

5 Critical Questions to Ask Your Financial Adviser
However, one component of the rule is reasonably straightforward: It requires any broker or adviser advising on retirement accounts to act impartially and with the investor’s best interest in mind at all times, a so-called impartial conduct standard.

CFP Board appeals for feedback on revised conduct standards - Financial Planning
With time running out, the CFP Board is appealing to advisors for input on its newly updated standards of professional conduct . The board will accept public comments on the revised standards through Aug. 21, before evaluating the feedback. The actual&nbsp.

Inducement study sounds warning for advisers
of advisers accept corporate hospitality without restriction, warning they will be the "low-hanging fruit" in the eyes of the Financial Conduct Authority (FCA) as the new rules come into effect. The study of 89 independent and restricted advisers found.

Colorado Moving to Set Financial Adviser Cybersecurity Rule - Bloomberg BNA
The Colorado rule would require entities with state securities licenses to conduct an annual assessment of their cybersecurity risks, Jerry Rome, Colorado Securities Commissioner, told Bloomberg BNA. Financial firms would also have to have written.

Fired UBS adviser revives Palm Beach scandal - InvestmentNews
A judge will soon rule on a UBS motion to dismiss the suit. ... "With respect to his lawsuit's unsubstantiated allegations about the conduct of UBS toward other advisers in his office, UBS followed its supervisory processes, investigated suspicious.

Is Trump a threat to the fiduciary rule? - MarketWatch
While the Labor Department's fiduciary rule is scheduled to take effect April 10, some experts predict that President Trump will somehow, someway put the kibosh on the rule that requires financial advisers to act in their client's best interest.

Broker-dealers and RIAs at loggerheads over fiduciary rule delay
But at least one registered investment adviser believes that delaying the rule's full implementation could be harmful to investors. In its comment letter, signed by Christopher Jones, chief investment officer of Financial Engines Inc., the giant RIA with.