The value of referrals and targeted marketing in a regulatory environment
Among the many possible impacts of regulation is the need to adjust your client base. So while compliance creates new context for who you do and do not work with,...
Tag Archives: department of labor
Don’t be a quitter; make a difference
By Mark S. Gaunya, GBA Mark S. Gaunya, GBA The financial services and insurance environments are becoming more and more heavily regulated. It can be frustrating, but it’s also an opportunity. There are...
6 ways to manage changes with clients and staff in the face of regulation
Once upon a time, a prospect might come through one of Daniel K. Charley’s financial planning workshops, say they were interested in an annuity they heard about, and the seven-year...
Embrace hardship and regulatory change with a positive attitude
By Gregory Warren Smith, CFP I have just told a client about difficulties I’ve been experiencing in my personal life. I was vulnerable and looking for comfort, maybe even pity. The...
6 actions to take during the Department of Labor’s fiduciary rule delay
Perhaps you hoped and thought that, by now, it would be clear what would happen and when regarding the U.S. Department of Labor’s fiduciary rule — created with the intent...
6 adjustments to help you comply with regulation
A lot of uncertainty remains with the U.S. Department of Labor’s fiduciary rule, intended to guarantee that all advisors act in the best interests of their clients. Steve Parrish, J.D.,...
3 simple steps to prepare for regulation
As the applicability date of April 10, 2017, approaches for the U.S. Department of Labor’s fiduciary rule — a complex regulation change that can broadly be summarized by requiring all...
3 ways to prepare to meet the new DOL regulations
Caleb Callahan You should begin preparing now for the vast changes the new Department of Labor fiduciary rule will bring, even though it doesn’t take effect until April 2017, said Caleb...
