Most Clicked FSI NewsBrief Stories


1. SEC examinations to target sales of retirement products

FSI NewsBrief | Jun 30, 2015

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations is launching an initiative that focuses on retirement products. The agency said the project will emphasize "certain higher-risk areas of registrants' sales, investment and oversight processes, with particular emphasis on select areas where retail investors saving for retirement may be harmed." PlanAdviser.com (06/29)


2. FSI releases paper on fiduciary rule

FSI NewsBrief | Jun 30, 2015

FSI has issued a paper to "educate staffers and members of Congress" about the Department of Labor's proposed fiduciary rule for financial advisors. Read the paper. Politico (06/30)


3. FSI to Congress: Fiduciary proposal won't work

FSI NewsBrief | Jul 01, 2015

An FSI fact sheet for Congress makes clear the Department of Labor's fiduciary reproposal is "unworkable." The document has been well-received, says FSI, which plans to submit a detailed critique in coming weeks. Read the fact sheet. ThinkAdvisor (06/30)


4. Experiences that wow can enhance relationships

FSI NewsBrief | Jul 02, 2015

Well-timed surprises can do wonders to deepen relationships with top clients, writes Brad Johnson, vice president of Advisors Excel. He offers ideas for such surprises. "I promise you, this simple practice will create positive experiences and turn your prospects and clients into raving fans," Johnson writes. InvestmentNews (free registration) (07/01)


5. FSI leads opposition to fiduciary proposal

FSI NewsBrief | Jul 02, 2015

FSI remains "ready and willing" to work with regulators on a standard that would require advisors to put investors' interests first. But it remains adamantly opposed to the Department of Labor's fiduciary proposal and is leading pushback by the financial-services industry. BenefitsPro.com (07/01)


6. Are women the key to future prosperity?

FSI NewsBrief | Jun 29, 2015

Sallie Krawcheck, CEO of Ellevate, argues that women are one major key to future success for advisors. "Ignore women and millennials only if you're willing to see your business stagnate and shrink," she said. "The majority of wealth that women have today is not invested." She also thinks firms would benefit from more diversity. WealthManagement.com (U.S.) (06/26)


7. Advisors have resources for help with estate issues

FSI NewsBrief | Jul 01, 2015

Many financial advisors are not directly involved in estate planning for clients, getting involved is recommended. Valuable resources are available for advisors who want to stay in the loop to underscore their value. WealthManagement.com (U.S.) (06/30)


8. Estate planning essentials that all couples need to understand

FSI NewsBrief | Jun 29, 2015

Even newly married couples would be wise to consider estate planning issues, though many tend to overlook them. Mary Merrell Bailey walks through some of the major issues that advisors should make clients aware of, starting with life insurance beneficiary designations. National Underwriter Life & Health (06/26)


9. Family-style financial planning takes a modern turn

FSI NewsBrief | Jun 29, 2015

Financial advisors who serve families must be ready to deal with a range of dynamics, from single-parent households to multigenerational groups to unmarried couples with or without kids. Advisors should be aware that signing on nontraditional clients will require them to expand their relationships. Investment Advisor (07/2015)


10. Clients need more guidance on fees, performance

FSI NewsBrief | Jun 30, 2015

A survey from J.D. Power says 56% of full-service investors don't completely understand fees they pay wealth managers, while 46% don't know what their portfolios returned during the past year. Understanding soars for clients whose advisors explained fees. WealthManagement.com (U.S.) (06/29)




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