cfp-board-embraces-fiduciary-principle-new-code

A federal court has vacated the Department of Labor’s fiduciary rule for retirement accounts. But the fiduciary principle is far from dead. Not only are state jurisdictions adopting their own fiduciary standards, but the Certified Financial Planner Board of Standards has just approved a new Code of Ethics and Standards of Conduct. The code requires […]

time-to-warn-your-clients-about-fintech-dangers

Financial technology (FinTech)—which delivers innovations in banking, investing, and insurance—has had a large impact on America’s financial-services consumers. But it is also posing risks to the public, especially to millennial consumers, according to a new survey of securities regulators from the North American Securities Administrators Association (NASAA). NASAA’s recent Pulse Survey of state and provincial […]

click-bind-eo-insurance

Finding new clients and servicing your existing client base is more than a full-time job. Which means the last thing you want to do is spend time you don’t have on tasks you no longer need to do. Case in point: buying E&O insurance offline. If you’ve bought errors and omissions insurance the old-fashioned way—that […]

7-ways-to-avoid-eo-insurance-surprises

When it comes to E&O insurance, surprises are the last thing you need. For example, if a client begins to threaten you with a lawsuit, you want to know your E&O insurer will stand behind you, not that there isn’t enough coverage left in the policy to protect you. Similarly, there are many nuances in […]

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