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The Fifth Circuit Court of Appeals, vacating the rule as unreasonable and stating that it constitutes "an arbitrary and capricious exercise of administrative power,” matched with the Tenth Circuit’s decision in mid-March, throws this fiduciary rule into a harsh light. Get the latest information, and learn more about what's anticipated for the DOL Fiduciary Rule's future.
Being a leader isn't just about making all of the decisions. Effective leaders recognize the value of a cohesive and well-equipped team and invest themselves in the development of their people.
The greatest leaders know how and when to follow. In this article, Kaplan's Asha Bianca explains why followership is a critical leadership skill and how leaders can build stronger teams by knowing how and when to hand over the reins.
Integrity, grit, intelligence, and creativity are all critical skills shared by some of the most effective business leaders. In this article, Kaplan's Asha Bianca explores the value of another, often overlooked, leadership trait: hope.
Find out how a trip to the farm illuminated parallels between the role of continuous improvement in farming and business. Get four key takeaways you can apply today to develop your work and your business.
It doesn't always feel like it, but feedback is a gift. It's sometimes difficult to recieve, and it's often even more difficult to give. But learning to effectively give and receive feedback ultimately leads to better communication and stronger teams.
The DOL fiduciary rule is expected to be toughest on small, independent broker-dealers and IAR firms. Learn how shifting your practice to a holistic, advice-based fee structure will help you thrive in this new era of financial services.
The Department of Labor (DOL) Fiduciary Rule, expanding the definition of investment advice fiduciary under the Employee Retirement Income Security Act of 1974, is now in effect. Learn about the evolution of this rule and what is ahead in this article from SmartPros’ Dan Butterfield.
The DOL fiduciary rule will greately impact the financial services industry and how financial advisers interact with clients. Learn the implications of the DOL fiduciary rule for your company and how to not only adapt, but build a competitive advantage in the industry in this free download from think2perform's Doug Lennick, CFP®.
It is no secret that high turnover is a major obstacle in the insurance industry. Our team enlisted the help of over 100 established insurance professionals to get their take on why insurance agents commonly fail and what steps organizations can take to better support new agents. If you are looking to improve retention in your organization, this eBook is for you.
Providing effective and ongoing management training is an investment that can have both tangible and intangible payoffs for a business. Find out how in this article from Kaplan Financial Education.
Advisor Practice Reviews (APRs) can keep your firm away from real and substantial risks. Discover why APRs are a 'win' for all involved - from the C-suite to clients in this free whitepaper.
The very core of effective supervisory procedures is a good branch-office inspection program. Well-conceived systems and inspection processes means never having to hear or read: failed to supervise. Download this free whitepaper to learn best practices for compliance with branch-office inspection requirements, and proper tracking and remediation for any found issues.