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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 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 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 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.
The Motley Fool June 27, 2007 Amanda B. Kish	The 5-Minute Fund Test Follow these easy steps to find worthy mutual funds.
Financial Advisor March 2005 Cohen & Overgard	So Many Hedge Funds ... So Little Time Similar to concerns about the myriad of mutual fund choices, investors face a similar dilemma about how to choose a successful hedge fund. Thus, selecting a hedge fund can be a daunting task, but not an impossible one for the educated investor.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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, 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.
The Motley Fool July 15, 2008 Tom Hutchinson	Mutual Fund Advisory Madness If you use a financial advisor, you've probably been approached to invest in a diversified group of funds or a mutual fund advisory program. But be careful before you accept -- they may cost you more than your portfolio can afford.
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.
Investment Advisor September 2009 Mike Patton	Way Up The author describes the eight-step process he uses in managing money for his clients. It's worked out pretty well in a difficult environment.
Investment Advisor June 2006 Ken Ziesenheim	Expert's Corner: Playing Offense with an IPS A written Investment Policy Statement (IPS) can help build your financial advisory practice in surprising ways.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Advisor April 2004 Gregory Bresiger	Fund Industry Dilemma: Who Pays The Bills? A new bill calls for the elimination of 12b-1 fees.
Financial Planning August 1, 2010 Donald B. Trone	Step Four: Implement In this segment in our series, we are examining the steps of a traditional investment management process and demonstrating how a principles-based fiduciary standard can be incorporated into the process.
On Wall Street October 1, 2009 Elizabeth Wine	Hedge Funds: Are They Worth It? Strategists in the wirehouses and elsewhere say hedge funds were wrongly maligned, and that the good funds can still serve the purpose of diversifying a portfolio and reducing risk.
Financial Planning November 1, 2005 Al Zdenek	Stalking the Right SMA Manager For financial advisers, conducting due diligence on managed account managers, the process is more akin to researching hedge funds than mutual funds.
The Motley Fool February 18, 2004 Robert Brokamp	The Fund Fees You Don't See A study shows that almost half of shareholder costs are undisclosed or nearly impossible to find. While the recent mutual fund scandals raise serious questions about whom we should trust with our money, the actual dollar cost to most individual investors isn't that high. There are far more significant ways funds siphon off our dollars. And they're just as hidden.
The Motley Fool August 26, 2004 Robert Brokamp	My Fund Manager Ate My Retirement! How much of your investment is consumed by your mutual fund's expenses?
Financial Advisor May 2008 Michael C. Keenan	The Elephant In The Living Room The transaction costs charged by mutual fund managers are often a significant, if clandestine, part of the fund business, but some Washington lawmakers are trying to change that.
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.
The Motley Fool August 24, 2007 Amanda B. Kish	Fund Fees Under the Magnifying Glass Make sure you know how much you're paying for your fund.
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.
The Motley Fool March 19, 2004 Whitney Tilson	The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions.
Financial Advisor May 2004 Gene Swanzey	Hedge Funds Can Complement Modern Portfolio Theory Active management can result in higher risk-adjusted returns.
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.
Financial Advisor September 2012 Joni Youngwirth	The Role Of The CEO Thinking of hiring a CEO? Here's what you should expect her to do.
The Motley Fool April 28, 2009 Dan Caplinger	The Best Method for Simple Investing Depending on how you invest, making the right choice between ETFs and index mutual funds will give you exactly the portfolio you want.
The Motley Fool July 30, 2007 Amanda B. Kish	Old Mutual Spreads Its Wings It remains to be seen if Old Mutual's plans for growth will make this firm's funds worth owning, but one fund, Old Mutual Focused Fund, is already worth a look.
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.
The Motley Fool September 6, 2006 Dan Caplinger	Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself.
Financial Advisor November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
The Motley Fool June 27, 2006 Buz Livingston	Better Than Picking Stocks Life's full of interesting pursuits; let someone else pick your stocks. Selected Funds American Shares, managed by Christopher Davis and Kenneth Feinberg, has continuously surpassed the S&P each year since they began managing the fund.
Financial Planning April 1, 2005 Louis Cameron Day	You've Got Concerns A new, individualized approach to portfolio management may lessen your financial advisory clients' confusion.
Investment Advisor December 2007 Johnathan Satovsky	Building Your Own Holy Grail The ability to analyze at a glance the metrics of multiple, aggregated portfolios plainly benefits both advisor and client both in the short and the longer term.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
BusinessWeek June 7, 2004 Anne Tergesen	Does Your 401(k) Cost Too Much? Fees for your 401(k) retirement plan can take as much as 3% of the account balance each year. Watch out for conflicts of interest.
Financial Advisor April 2007 Matthew M. Brandeburg	Alpha: Charge Clients Based On The Value You Add As financial advisors, we need to quantify what our investment planning acumen is achieving for our clients.
Financial Advisor October 2006 Thomas M. Kostigen	Discrimination, Or Keeping It Simple? Schwab boots funds that have cheaper share classes elsewhere.
Financial Advisor February 2005 Sydney LeBlanc	The "Black Cat" Of Separately Managed Accounts Education can prevent or eliminate myths surrounding managed accounts and help clients take advantage of the benefits they afford.
Financial Advisor April 2008 Eric L. Reiner	Hedging Your Bets Richard Lee Jr. presides over the 50-person Dallas advisory Lee Financial Corp. A private placement fund of hedge funds that Richard Lee Jr. uses for clients returned nearly 20% last year.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
Financial Advisor November 2007 Brad Zigler	The Long And Short Of It Only time will tell if short-enabled mutual funds live up to the expectations of their creators or are, as some critics contend, a mistake in the making.
Financial Advisor May 2004 C. Michael Cart	Risk Control: The Next Act For ETFs New Exchange-traded funds are being created as strategies and technology are developed.
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.
The Motley Fool February 4, 2004 Selena Maranjian	Mutual Funds and 12b-1 Fees Are you paying counterproductive fees?
OCC Bulletin November 1, 2001	Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties...
Investment Advisor February 2007 Ben Warwick	The True Costs of Active Management Think mutual funds are cheaper than hedge funds? Not a chance.
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.