Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
SEC Highlights Top Advisor No-Nos Related to Cash Solicitation Rule
By Melanie WaddellThe agency's exam division cites four of the most common compliance deficiencies related to the rule.
July 30, 2018
Details Emerge on Troubles at Wells Fargo Wealth UnitTwo whistleblower letters cited sales goals that led employees to push products with more fees, The Wall Street Journal reported.
July 26, 2018
Advisors Shift Pricing Models to Appease Fee-Savvy Clients: SEIClients are more aware of fees than they were three years ago and are demanding more "client-centric pricing models," SEI found.
July 19, 2018
Data Analytics Firm Develops Variable Annuity GLWB Value RatioThe highest GLWB benefit value number analysts calculated was 38% higher than the lowest.
July 05, 2018
Race to the Bottom in U.S. Asset Management Fees Accelerates: CerulliNew Cerulli research finds that the solutions the industry creates for fee compression only amplify the situation.
June 02, 2018
Advisors Have Much to Gain With Broker-Dealer ArbitrageWith the advisory space getting crowded as others flood into the same investment style, price compression is an increasing reality, making advisory cost savings increasingly important.
April 30, 2018
Why the Role of Compliance Officers Is Taking on New ImportanceThe growth of investors using advisors boosts the value of the compliance function, says SEC Chairman Jay Clayton.
April 27, 2018
Some Things Are Worse Than Paying TaxesFee-based governance, standard in the Gilded Age, has been making a comeback of sorts. That's not healthy.