The DOL Fiduciary Rule is Dead; Long Live the DOL…

Fifth Circuit Court's decides to vacate the Department of Labor's fiduciary rule, yet fiduciary advice is stronger than ever.

Why a solid succession plan is in your client’s best…

As a financial advisor, it is part of your job to protect clients from disruptions to your business for one simple reason - it introduces risk that is not in…

Hope is Not a Strategy with the DOL Fiduciary Rule

The regulatory future in the financial industry became less certain with the election of a new administration. However, preparing your firm to be compliant with the DOL Fiduciary Rule is…

Defining Reasonable Comp: 3 Mistakes to Avoid

Reasonable Compensation – a key element of the DOL Fiduciary Rule – is unclear, complicated and time consuming. And it’s a ticking time bomb for firms and advisors that approach…

DOL Readiness Lifeline for Broker-Dealers launched by Xtiva

Broker-dealers can leverage new programs to assess, prepare for and implement the DOL Rule New York, NY. – November 3, 2016 — Xtiva Financial Systems, announces the launch of a…

Broker-Dealers Get DOL Help from Xtiva with BDComp-Check Program

33-Point review of broker-dealer advisor compensation to align with Best Interest goals NEW YORK, NY (PRWEB) OCTOBER 26, 2016 Xtiva Financial Systems, announces the launch of its exclusive BDComp-Check Program…

The DOL Fiduciary Rule Could be a Gift

The DOL Fiduciary Rule means big change. Despite years of consultation, and now fully six months after the announcement of the DOL Rule, we are still figuring out the magnitude…

The DOL & Advisor Practices: Hard Questions Advisors will Ask

Part 2 in our series examining the implications of the US Department of Labor’s ‘Fiduciary Rule’. The ‘DOL’ is a game changer. Like most, we believe that the DOL Rule…

The DOL and Sales Performance Management

The ‘DOL’ is a game changer. We just aren’t sure which game it is changing… yet. Like most, we believe that the DOL rule will be among the most material…