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Compensation

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Have A Problem? Get A Partner!

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Getting another person's perspective can identify problems early before too much damage is done.

UBS Tries To Stop RBC Defectors From Taking More Clients

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UBS filed for injunctive relief against a New Jersey team that managed $1.6 billion, claiming they breached contracts.

All Things To All People Won't Work

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Spoiler alert: You aren't all there is.

Five Powers Companies Should Never Cede To Workers

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Stakeholder capitalism must have its limits.

Warren Buffett On Up-Front Recruiting Checks

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What are you really getting when a broker-dealer gives you money in advance?

Monetary Incentives Are Poorly Used By Many Financial Firms

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Incentive compensation needs to be clearly defined and tied to the firm's goals, David DeVoe said.

Regulation Turns Off Entrepreneurs From Pursuing The IBD Channel

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Regulators are making it difficult for innovation in the broker-dealer space, said an industry consultant.

Don't Let Statistics Deter You From Switching Firms

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Switching firms should lead to some client transition, but the amount may be overstated by recent statistics.

Working From Home Could Harm Mental Well-Being, Consultants Say

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Working in an office leads to better relationships among employees, they said.

AdvicePay Adds Compliance Tool Showing Link Between Fees And Advice

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The new Deliverables functionality allows firms to demonstrate that advice was provided for retainer and subscription fees.

2021 Independent Broker-Dealer Survey: IBDs Navigate The Pandemic

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A market upswing helped save this industry in 2020 and recruiting kept its pace.

The Major Conflicts Recruiters Won't Tell You About

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The current fee model offers little incentive for recruiters to focus on a good fit between firms and advisors.

Finra Enforcement Fines And Restitution Surged In 2020

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Finra levied $57 million in fines last year, up from $40 million in 2019, said Eversheds Sutherland.

IBD-Affiliated Advisors Brace For Congress Vote To Reclassify Independent Contractors

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Various financial services industry trade groups are lobbying to derail the proposal.

'Change The Damn Name' Of Reg BI, Harold Evensky Tells SEC

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Evensky wants Biden's SEC chief nominee to wipe away a moniker he says misleads investors.

Cutting Down A Lawyer’s Tax Burden

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Lawyers can get their contingency fees deferred under an IRS rule. This advisor helped his client do it.

Fee Compression? Kitces Finds Most Advisor Fees Rose In 2020

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A new study from Kitces.com parsed the growth rates of various fee structures.

OMB Releases DOL Advice Rule, But Will It Survive The Biden Administration?

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There’s some debate about whether the amended advice rule for financial advisors will see the light of day.

Advisors' Flat Fees Are Surging, Envestnet | MoneyGuide Finds

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At the same time, more advisors are providing full financial plans, according to a survey.

DOL Fiduciary Rule Sent To OMB, But Can It Survive Biden Administration?

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The rule expands advisors’ abilities to recommend rollovers and receive many forms of compensation.

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