X
20Sep

The good old days for advisors are gone

Ary Rosenbaum | | Return|
In the good old days of participant-directed 401(k) plans, a good chunk of financial advisors did very little work for the plans that they advised. Many of them sat back, collected their trail or asset-based fee, and maybe saw the client once a year....
By: Ary Rosenbaum
Source Url: https://www.jdsupra.com/legalnews/the-good-old-days-for-advisors-are-gone-52272/

Related

[Video] 31 Days to a More Effective Compliance Program-Sales incentives and compliance

In the DOJ’s 2019 Guidance, Incentives and Disciplinary Measures it stated: Incentive System – Ha...

Read More >

Fire Hazard: Plexiglass Glazing is Inflammable

As we grow accustomed to the new normal of face coverings during a haircut, social distancing on wal...

Read More >

The Need for Cybersecurity and Privacy Due Diligence in M&A Transaction

The Need for Cyber Due Diligence in M&A Transactions - As technology continues to advance, allowing...

Read More >

New 2019 Governmental Guidance Impacting Retirement Plans

Since our March, 2019 alert on retirement plan guidance and compliance trends, the Internal Revenue ...

Read More >

Scared to Check the Mail? Employers Face the Return of No-Match Letters

In the spring of 2019, the Social Security Administration (SSA) renewed its practice of sending empl...

Read More >

Delaware Upholds Contractual Waiver of Appraisal Rights

Venture capital and private equity arrangements often include contractual provisions limiting the ri...

Read More >