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Financial Adviser Best Practices

Health Care Compliance Association (HCCA)

[Webinar] Intersection of ESG, Health Equity and 501(R) Compliance - March 22nd, 12:00 pm - 1:30 pm CT

Learning Objectives: 1. Understand the data elements required for 501r, ESG, and health equity 2. Understand how those data elements cross over 3. Understand best practices with data governance and process...more

Conyers

Greening the Economy: ESG and BVI Companies

Conyers on

Institutional investors and regulators across the globe are increasingly focusing on environmental, social and governance (ESG) issues in terms of investment portfolio composition, corporate best practices and corporate...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Great distribution needs a good product

If you have a great product, but lousy distribution, you’re not going to do well. Yet the same thing is on the flip side if you have great distribution, but a lousy product. Whether it’s a multiple employer plan, a great...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

They will always disappoint you

When I graduated from law school, it took a few months before I got my first job. So for the months, I wasn’t employed, I tried working with a temp agency to get temporary legal work. Let’s just say that no matter what they...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The big problem with an ancillary line of business

As a plan provider, it makes sense to create an ancillary line of business if it’s a natural carryover of the existing line of business....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Trust in this business does take time

Suppose someone you never met before comes up to you and asks whether they can stay at your house or someone you never heard of, all of a sudden wants to be your partner and best friend. Any business relationship and any...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - November 2018

The Help Plan Providers Need And What They Don't. Avoid the people who want to sell you everything. When you're in business as a retirement plan provider, you will see that there is a surge of humanity that wants to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Connecting with plan participants

You can be a great financial advisor and have a terrific way of communicating with plan sponsor clients, but that doesn’t mean you can effectively communicate with plan participants....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - February 2018

A Call For A New Standard For Financial Advisors. A higher standrad for today. Over the last 10 years, there has certainly been a revolution among 401(k) financial advisors about the need and concern of good fiduciary...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Consider how an advisor uses other plan providers

What makes a good retirement plan financial advisor? Well it takes an attention to detail, an understanding of what the role entails, and a dedication to the plan sponsor client. In addition, what I find is the way a good...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Beware of Insurance Brokers Masked as TPAs

A friend of mine who is a financial advisor asked me about a third party administration (TPA) firm that is actually about a village over from where I live in Long Island. My friend has this prospect with a defined benefit...more

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