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- Contingency Planning And Rule 206(4)-7
- From the executive summary: ‘The Securities and Exchange Commission SEC adopted Rule 206(4)-7 in an attempt to protect investors by ensuring that advisors have internal programs to enhance compliance with federal securities laws. The rule requires SEC registered investment advisors to adopt compliance policies and procedures designed to prevent violations...
- White papers 2004-10-01
- Conservatism Rules In Retirement Planning
- Over the last few years, the threat of terrorism, war, and economic slowdown has put the financial advisor's job in jeopardy. However, it is a financial advisor's duty to prevent the employees from taking early retirement. As a result, many financial advisors are considering refurbishing of retirement planning strategies for...
- White papers 2003-01-01
- Employee Stock Options Planning Remains Confusing
- From the executive summary: ‘Employee stock options continue to remain a popular way for companies to attract and motivate executives and workers. At the same time, stock options continue to create opportunities for financial advisors. Individuals interested, in-the-money options are approaching the 10-year expiration dates, to decide whether it is...
- White papers 2003-01-01
- Retirement Stop Sign
- Until few years ago, the clients and advisors decision to plan an early retirement rested on savings and wise investments. However, of late, another factor viz. ‘health care costs' are resulting in early retirement plans by the clients. Clients believe that increasing health care costs would hamper the retirement planning;...
- White papers 2003-01-01
- Small Employers Wrestle With Benefit Costs
- It has been observed, that in a sluggish economy, most small organizations are critically viewing the employee benefits. As a result, health providers are adopting innovative techniques to increase the profits. The small companies are wrestling with the idea of benefit costs and are cutting down the health benefits. The...
- White papers 2003-01-01
- The New Retirement Reality
- Until recently, the discussion of most companies with their clients focused on the raise in salaries and early retirement plans. However, today most companies are concerned about protecting the assets and working longer for the clients. The reasons being the employees have started looking beyond the reality and are reconsidering...
- White papers 2003-01-01
- Help Your Clients Rethink Their 401(k)s
- From the executive summary: ‘The Revenue Act in the late 20th century created the 401k plan because the Federal Government was looking for ways to encourage Americans to save more. The plan was also attractive for employees of smaller companies that did not have traditional, company-funded pension plans. Moreover, the...
- White papers 2003-01-01
- Dusting Off Defined Benefit Plans
- From the executive summary: ‘Recent tax law changes and new one-stop shopping programs offered by financial services companies have made defined benefit plans more attractive and easier to implement and maintain for small businesses. High-income business owners employing only themselves may benefit the most from the plans. That is because...
- White papers 2003-01-01
- Qualified Plans Rock Through Bear Market
- For the past few years, the 401k plans have faced a strong criticism due to lack of benefits. However, the advisors or consultants of companies continue to put their stakes on the 401k plans for being the best retirement solutions. The advisors believe that the problem does not lie in...
- White papers 2003-01-01
- Seeing More Growth In Growth
- The growth of an organization largely depends on its overall productivity. However, it is equally important for organizations to devise methods to fight any unexpected risk, which might hamper the growth process. For many people, growth means focusing on highflying areas such as cutting edge health care. The paper elucidates...
- White papers 2003-01-01
- The New Way To Growth: Buying Another Practice
- The sales activity, in an organization, demands constant growth. This ensures the consolidation of a strong sales-oriented framework in the organization. One of the fundamental duties of the sales department of the organization is to retain important clients and build strong relationships with them. In bidding, the prime aim of...
- White papers 2003-01-01
- Why Value Beats Growth
- From the executive summary: ‘It makes sense to divide clients into defensive investors that might do better with more conventional or conservative portfolio approaches and enterprising investors that can do well with more discipline value investing approach. The most sophisticated and disciplined investors in the latter group might even do...
- White papers 2003-01-01
- The Great Diversifier
- In the world of real estate securities the past few years, the mantra may as well be, "diversification." That's because in recent years, REITs and other real estate investments did exactly what their proponents say they're supposed to do—they acted independently of the broad market. Real estate has beaten the...
- White papers 2003-01-01
Additional Resources
- Dow Jones Newswires Announces Agreement With Financial Advisor Magazine and Charter Financial Publishing Network -CFPN-
- Business Editors JERSEY CITY, NJ--BUSINESS WIRE--September 25, 2001 Dow Jones Newswires announced today that it has signed a distribution agreement with Financial Advisor magazine and Charter Financial Publishing Network CFPN to deliver the Dow Jones Financial Advisor Service. CFPN will offer access to the Dow Jones Financial...
- Research articles 2001-09-25
- "FINANCIAL ADVISOR", JOURNAL & NLs FROM CHARTER FINANCIAL PUBLISHING.
- Charter Financial Publishing Network (Shrewsbury, NJ), a unit of Dow Jones & Co. New York formed earlier this year by former executives at Dow Jones Financial Publishing, has begun the publication of Financial Advisor magazine. It has an initia Charter Financial Publishing Network (Shrewsbury, NJ), a...
- Research articles 2000-10-31
- "FINANCIAL ADVISOR", JOURNAL & NLs FROM CHARTER FINANCIAL PUBLISHING
- Charter Financial Publishing Network (Shrewsbury, NJ), a unit of Dow Jones & Co. New York formed earlier this year by former executives from Dow Jones Financial Publishing, has begun the publication of Financial Advisor magazine. It has an initial controlled circulation of 50,000 and will be produced six times a...
- Research articles 2000-11-17
- Fund Managers Agree to Super Fee Deal
- More than 135 fund managers carrying about $1.1 trillion worth of assets have agreed to new standards that will allow customers to opt out of fees charged for financial advice in their superannuation funds.But the initiative, which is included in the Investment and Financial Services Association's IFSA new charter,...
- News items 2009-11-17
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