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The implementation of the Department of Labor's Fiduciary rule has been pending for some time.

Monday, 22 May 2017 09:05

FINRA Seeks Feedback

FINRA's comprehensive review, FINRA360 Initiative, was developed as an "audit" of all the self-regulator's operations and programs.

Don't just send an email to send an email. Doing your research before you send them can save you time and money AND help you keep them interested!

Monday, 08 May 2017 13:19

Which Platforms Should You Be On?

The term "platform" is often used to refer to a specific financial services firm within various mutual fund distribution channels, which can include wirehouses, broker dealers, RIAs, DC/Retirement, Bank and Trust.

A key to growing your fund is knowing your advisors. Most fund companies, unless they made a concerted effort and invested a fair amount of money, don’t really know who the advisors are that are recommending their funds. 

Thursday, 27 April 2017 08:25

FINRA Releases Guidance on Social Media

Great news, the answers we've all been waiting for regarding the application of FINRA rules governing communications with the public via social media and other emerging technologies have been released. 

SunStar Strategic webinar - An Inside Look: Mergers, Acquisitions & Private Equity Investments in the Asset Management Industry 

Monday, 24 April 2017 11:18

Is Active Management Passé?

“Reports of the death of active management are not just premature, they are altogether incorrect.”

All too often we hear about media opportunities that were lost or turned away because on the surface they seemed they might not be exactly the right fit. 

Two longtime successful financial advisors shared their insights. Barbara Moser of Moser & Heier, $200M AUM and Shawn McLaughlin of McLaughlin Ryder, $650M AUM talked about how they select new funds for their clients' portfolios.

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