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Financial Planning April 1, 2010 Donald B. Trone	Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care.
Financial Planning September 1, 2011 Donald B. Trone	Code of Conduct The SEC has done little to define the baseline professional conduct associated with the proposed standard-an advisor's duty of care.
Financial Planning February 1, 2010 Donald B. Trone	The Practical Fiduciary The steps required to create a fiduciary practice are similar to those of the financial planning process. Here's how to get started.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
Financial Planning June 1, 2010 Donald B. Trone	Step Three: Formalize When upholding a fiduciary standard, ensuring your investment strategy is prudently planned and well-documented is vital.
Financial Planning February 1, 2011 Donald B. Trone	12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year.
Financial Planning May 1, 2010 Donald B. Trone	Step Two: Strategize As discussions heat up between the SEC and FINRA surrounding a new fiduciary standard, let's take a close look at ways advisors can get ahead of the game.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
Wall Street & Technology August 22, 2005 Atul Seth	Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.
Financial Planning October 1, 2010 Donald B. Trone	Last Step: Monitor A closer look at the final step in the investment management process: Monitor. Plus, clues about when it might be time to fire your money manager.
Financial Planning June 1, 2011 Donald B. Trone	Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care.
Financial Planning October 1, 2009 Donald B. Trone	Born to Lead What are leadership chracteristics unique to the role of financial advisor?
Financial Advisor July 2012 Donald B. Trone	The Fiduciary-Steward If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Financial Planning December 1, 2009 Donald B. Trone	Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care.
OCC Bulletin May 10, 2004	Risk Management of New, Expanded, or Modified Bank Products and Services The risk management principles in this bulletin outline the expectations of the Office of the Comptroller of the Currency and apply to the introduction of traditional and non-traditional bank products and services, as well as modifications to existing products and services.
Financial Advisor March 2012 Donald B. Trone	Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.
Financial Advisor July 2004 Tracey Longo	Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.
Investment Advisor January 2008 Mike Patton	Shining a Light on Software Our intrepid advisor kicks the tires on four applications that pick and monitor clients' investments. Morningstar Principia... Advisor Workstation... etc.
Investment Advisor December 2005 Kathleen M. McBride	Hybrid Vehicles? Mutual funds have brought Main Street into investing and been the lifeblood of most advisors' practices. In the future, will there be a better way to invest?
Financial Advisor September 2006 David L. Lawrence	A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice.
Investment Advisor September 2006 Ken Ziesenheim	Expert's Corner: The Fiduciary Audit File How to help clients who are themselves fiduciaries: Establishment of a fiduciary audit filing system is your best defense, and constitutes a best practice for fiduciaries.
Financial Advisor November 2012 John C. Bogle	The New Pension Plan The author offers five recommendations for improving our badly flawed retirement savings system.
Wall Street & Technology October 26, 2005	Costly Timing According to a report, compliance with the SEC's regulatory response to market timing abuses - Rule 22c-2 - will cost the mutual fund industry a total of $617.5 million over the next three years.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
Financial Advisor May 2007 Ken Ziesenheim	Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
Financial Planning September 1, 2009 Donald B. Trone	Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice.
Financial Advisor November 2012 Donald B. Trone	The Point Of Inspiration Financial advisors should take leadership roles in the lives of their clients.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Financial Planning January 1, 2012 Donald B. Trone	Stepping Up There's something vital to financial planning that regulators can't regulate, legislators can't legislate and lobbyists can't influence. It's called leadership.
Financial Advisor January 2012 David Lawrence	Mission Critical How do firms translate fiduciary concepts into their day-to-day operations?
Financial Advisor June 2005 Darwin K. Abrahamson	Avoiding Redemption Fees In 401(k) Plans Since it's indisputable that redemption fees are becoming entrenched within mutual funds at an accelerated pace, an obvious solution to avoiding redemption fees altogether is to invest in exchange-traded funds (ETFs).
The Motley Fool December 4, 2006 Dan Caplinger	10 Trillion Reasons to Invest Mutual funds keep raking in the money.
Financial Advisor May 2004 Joel Bruckenstein	Software With A Conscience A new online service, IWF Advisor from IdealsWork Financial, may offer advisors a solution to the tricky problem of finding a cost-effective way to align a client's social agenda and financial needs.
The Motley Fool January 31, 2011 Amanda B. Kish	Top-Priority Investments Finding the right mix of investments for retirement can be a special challenge.
Financial Advisor September 2012 Donald B. Trone	The Point Of Triangulation The coordinates of a higher professional standard of care include the point where leadership, stewardship and fiduciary governance intersect.
Financial Planning October 1, 2010 Donald Jay Korn	A Bigger Slice Of all the challenges that the fund industry has faced and still faces, a stagnant stock market may be the most serious.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Financial Planning November 1, 2009 Donald B. Trone	Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another.
Financial Planning August 1, 2007 Li et al.	Meeting the Need Your clients need your help managing their retirement income. This three-stage process offers you a practical framework to serve them well.
Financial Advisor April 2005 Alan Lavine	How Corporate Governance Affects Performance Keep an eye on corporate, pension fund and mutual fund governance policies. How corporations and institutional fund portfolio managers exercise their fiduciary responsibilities may impact investment returns.
CFO Kris Frieswick	Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.
Financial Advisor June 2004 Gary Schneider	Fund Industry Being Forced In Wrong Direction In the aftermath of some of America's biggest scandals in the history of the mutual fund industry, proposed standards are wrongheaded and unnecessary.
Financial Advisor June 2004 Sydney LeBlanc	SMAs and Due Diligence: Streamlining The Process Software tools and common sense can help advisors enter the separately managed accounts (SMA) business.
Financial Advisor October 2009 Kristina Fausti	A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now.
The Motley Fool June 10, 2010 Scott Holsopple	The $5.5 Billion Mistake Are you throwing your retirement money out the window?
On Wall Street June 1, 2011	The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.
Registered Rep. April 6, 2011 Diana Britton	Do-It-Yourself Advisors Launch Alternative Funds As assets continue to flow to alternatives in the wake of the financial crisis of 2008 and 2009, many advisors are launching their own alternatives strategies to meet that demand.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.