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January 22, 2013
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A weekly digest of news and industry updates for the financial planning community

  Top Story 
  • Consumer bureau could seek a role in retirement policy
    The Consumer Financial Protection Bureau is exploring whether it has any authority over Americans' retirement savings and investments, says Richard Cordray, the agency's director. The CFPB is concerned that consumers might become victims of financial scams, sources say. Bloomberg (1/18) LinkedInFacebookTwitterEmail this Story
  Policy Watch 
  • What FINRA will be watching in 2013
    Suitability and complex products, mortgage-backed securities and nontraded REITs are among 10 products and issues the Financial Industry Regulatory Authority says it will focus on this year in its exams. AdvisorOne (1/18) LinkedInFacebookTwitterEmail this Story
  Practice Management 
  • Overlooked marketing channels for advisers
    E-mail signature blocks, business cards and voice mail messages are overlooked marketing opportunities for financial advisers, writes Kristin Harad. Advisers often focus on obvious channels for marketing, such as writing blog posts, commenting on LinkedIn or hosting seminars, Harad writes. "Yet we often overlook the marketing channels that naturally exist in our brand experience," she writes. Management Center blog (1/18) LinkedInFacebookTwitterEmail this Story
  • Don't lose focus on what matters with social media
    Social media followers are most valuable to advisers when they become brand evangelists for them, writes Claudio Pannunzio, president of i-Impact Group. He warns against evaluating one's social media success solely in terms of number of followers or "likes" on Facebook. "Social media is not a 'collector' game in which he or she who gathers the largest number of contacts wins," he writes. Management Center blog (1/16) LinkedInFacebookTwitterEmail this Story
  Industry Report 
  • Regulators eye misstated AUM
    State and federal regulators are on the lookout for financial advisers who misstate their assets under management. Experts say advisers might inflate their assets under management because they want to avoid state regulation, because they want the prestige associated with being registered with the Securities and Exchange Commission or because they are confused about how to calculate them. InvestmentNews (free registration) (1/18) LinkedInFacebookTwitterEmail this Story
  • How tax-code changes alter bypass-trust considerations
    The use of bypass trusts has become largely irrelevant because of changes made in the American Taxpayer Relief Act of 2012, writes Michael Kitces. Now that the portability of the estate tax exemption is permanent, using bypass trusts can have negative consequences from an income tax perspective. Nerd's Eye View blog (1/16) LinkedInFacebookTwitterEmail this Story
  • Getting investors away from cash
    Given investors' recent tendency to cling to cash, advisers face challenges in helping them reach their long-term investment goals, says Robert Hussey of Natixis Global Asset Management. One strategy is to help them stop thinking of certain assets as "good" or "bad," he says. Wilmington Trust, meanwhile, suggests that advisers can capitalize on irrational investor behavior in the marketplace to increase their clients' returns. AdvisorOne (1/18) LinkedInFacebookTwitterEmail this Story
  FPA News 
  • Apply now for FPA Diversity Scholarship to attend FPA Business Solutions 2013
    Submit your application now for an FPA Diversity Scholarship to attend FPA Business Solutions 2013. Scholarship awards include one-year FPA membership, admission to the conference (March 7 to 9), one-year chapter dues and some travel expenses. Criteria for applicants include raising awareness of the profession in diverse communities, serving diverse communities with financial planning and increasing professional opportunities for diverse communities within the financial planning profession. Apply now! LinkedInFacebookTwitterEmail this Story
If you can't sleep, then get up and do something instead of lying there worrying. It's the worry that gets you, not the lack of sleep."
--Dale Carnegie,
American author and motivational speaker

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