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: dol
How transparency-based compliance can help grow your business
The nature of regulation is that either you’ve experienced it or you likely will experience it. In the U.S., months and months of news, discussions and delays regarding the Department...
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...
What does the U.S. election mean for approaching regulation?
By now you surely know that the U.S. Department of Labor’s new fiduciary rule, primarily pertaining to advisors acting in the best interest of the client, becomes applicable April 10,...
Determining fees for the upcoming fiduciary rule
The U.S. Department of Labor fiduciary rule will result in many advisors adjusting from a commission-based business to a fee-based practice. Juli McNeely, CFP, CLU, of Spencer, Wisconsin, has started...
5 ways the U.S. ruling will change your business
When the U.S. Department of Labor ruling goes into effect next year, how we do business will change dramatically. Here are the five things I see that will be most...
3 steps to prepare for fees in the U.S.
Make the transition easier by preparing now for the U.S. Department of Labor’s upcoming regulation. Having provided training and expertise to other advisors, Jason L. Smith, an 11-year MDRT member...
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...
