DOL

• 

  Triche Named ASPPA’s Director of Government Affairs

  By Melanie Waddell, AdvisorOne  |  April 4, 2013

  ASPPA announced Thursday that Ronald Triche will join ASPPA as assistant general counsel and director of government affairs.

• 

  Kitces on Top 3 Topics for Advisors in 2013—Topic 2: Tablets

  By Michael E. Kitces  |  January 8, 2013

  Many advisors already have tablets, but as prices decline and more clients get the devices, and as advisor-specific applications are introduced, advisors will face a new challenge.

• 

  Forget Zero-Sum: Much of Life and Economics Is Win/Win

  By Bob Clark, AdvisorOne  |  January 2, 2013

  If our legislators and regulators realized this, we would all be much better off.

• 

  Tom Giachetti's 10 Blunt Compliance Warnings

  By James J. Green, AdvisorOne  |  December 21, 2012

  Tom Giachetti doesn’t mince words.

• 

  Tom Giachetti’s 10 Blunt Compliance Warnings

  By James J. Green, AdvisorOne  |  November 30, 2012

  The federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."

• 

  SEC, DOL Enforcement Roundup: CDO Woes, Short-Selling Brothers, Amish Fund

  By Marlene Y. Satter, AdvisorOne  |  July 19, 2012

  Recent actions by the SEC and DOL included fines of $127.5 million for a securities firm over false CDO credit ratings and $14.5 million for two short-selling brothers, along with deferred prosecution for an Amish fund.

• 

  Eight Hanukkah Wishes for Advisors

  By John Sullivan, AdvisorOne  |  December 22, 2011

  Here are eight wishes for advisors heading into the New Year.

• 

  New Institute to Educate, Advocate on Fiduciary Standard

  By James J. Green, AdvisorOne  |  August 23, 2011

  Led by Knut Rostad, a group of advisors and industry leaders form a permanent fiduciary education, research and advocacy think tank.

• 

  New Institute for Fiduciary Standard Elevates the Conversation

  By Bob Clark, AdvisorOne  |  August 23, 2011

  The creation of the Institute, founded by Knut Rostad and a bevy of industry leaders, is the next necessary step to change the conversation about a universal fiduciary standard.

• Target-Date Funds’ Subjective Objectives

  By Steve Weydert, CFP, MS  |  March 1, 2011

  Until now, fund companies, rather than employers, have set unrealistic objectives that call for high equity exposure, translated to high fees.