Regulatory and Compliance Considerations with Different Fee Models

Advisors in a growing number of states are facing challenges to their financial planning fees when charging other than on the amount of their client’s assets under management. Confusion surrounding different fee models has led to uncertainty in disclosures and treatment in examinations. In this session, advisors will learn why some fee models receive more scrutiny than others, understand the “unreasonable fee rule,” and its application by regulators as well as how to structure their fees and implement practices to ensure their fees withstand regulatory scrutiny.