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The aftermath of regulatory change

Liz DeCarlo 0.0

Two MDRT members explain how their businesses are thriving in the aftermath of regulatory change in the United Kingdom.

5 steps to working through regulatory change

Liz DeCarlo 0.0

MDRT members from around the globe who have already encountered regulatory change shared their ideas for not only surviving but thriving in a new world. Here are their five steps for working through regulatory change.

A continuing challenge

Scott Rogers 0.0

Members in Ireland share the issues they face and how MDRT has helped them grow.


Life after regulation in the UK

Ian Green, Dip PFS 0.0

In the U.K., commission disclosure in the 1990s was just the start of two decades of profession-changing regulation. Green shares how his career has changed, and a positive perspective about what he's gained.

Q&A: Cherian John

Liz DeCarlo 0.0

New regulations in the United Arab Emirates requires change in processes.


Life after regulation in Australia

Ross Vanderwolf, CFP 0.0

Following 20 years of regulation, the financial services profession has experienced significant change. For Vanderwolf and other producers willing to keep looking forward, success is still possible. Vanderwolf details some of the changes he has experienced and how he has adapted and rebuilt his business.

Economics in Japan create challenges

Liz DeCarlo 0.0

Regulatory changes and extremely low interest rates affect advisors in Japan.

Growing your business during uncertain times

Martin Gauto 0.0

Today’s political, economic and social arenas are perpetually changing around the globe, and with them regulations. One way to cope is simply flow with it, like many do. But to go beyond and benefit from the uncertainty, you need to learn what, when and how to change. After more than 20 years leading successful companies through chaotic business environments, Gauto’s commitment is to give you practical tools to continue growing in the face of ambiguity.

Getting ready to meet the new DOL regulations

Liz DeCarlo 5.0

In April 2016, the U.S. Department of Labor released its final fiduciary rule. Caleb J. Callahan, CFP, chief operating officer of ValMark Financial Group, shares the first steps you should take to prepare. From considering a fee-based business to grandfathering current clients, learn what action you should take right now.

Combating money laundering

Matt Pais 0.0

Advisors face increased compliance mandates to follow the money trail.

Predicting the future of regulations

Antoinette Tuscano 5.0

Look at financial regulations around the world to see what you may be experiencing in your career in the future.


Preparing for the DOL fiduciary rule

MDRT 0.0

In the second episode of a three-part podcast series, MDRT members discuss the way businesses adjust as a result of regulation and how advisors should start getting ready for the change.<br><br> You’ll hear from:<br><br> John F. Nichols, MSM, CLU<br> Simon John Gibson, DipPFS<br> Juli McNeely, CFP, CLU<br> Susan Catherine Paterson, FChFP<br><br> If you'd like to subscribe, find us on iTunes at MDRT Podcast.

The DOL game-changer: What you need to know about the new fiduciary rule

Lawrence J. Rybka, JD, CFP 0.0

In April 2016, the Department of Labor (DOL) issued its final rule redefining fiduciary advice for ERISA plans and Individual Retirement Accounts (IRAs). This rule marks the biggest regulatory change the financial services industry has experienced in decades. The implications of this rule will be both broad in scope and significant in impact. This is true for virtually all financial services firms, whether you are a fee-based advisory, insurance specialty or multi-disciplinary practice. Join Rybka for an engaging discussion on details of the final rule, strategies for complying and best practices for running your business in the aftermath.


Business generation through compliance

Ian Green, Dip PFS 4.5

No matter how onerous the additional compliance and regulation work looks initially, Ian Green, Executive Committee Nominee, shares how it can be turned into an opportunity to provide better client service and qualify for Top of the Table every year. Presented at the 2017 Annual Meeting.

Regulatory change checklist

MDRT 5.0

In many parts of the world where MDRT members live, governmental bodies have enacted tough regulations on the financial services profession. Members in these countries have adapted — some even succeeding at higher levels than before — and they’re sharing their advice here. This checklist provides best practices for operating in a highly regulated environment, with links to further resources. Developed in collaboration with the 2014 Best Practices for Fee-Based Practices Committee.