Advisory Expertise: Stumbling Blocks to Better Marketing
Morningstar’s Advisor Insights Survey for 2019 is still pertinent for financial professionals in the new year. More than 650...
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The SECURE Act Is Now Live: How It Will Impact Your Practice
Its full name is the Setting Every Community Up for Retirement Enhancement Act, a comprehensive legislative package finally passed...
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FINRA Wants Better Execution Via Technology: Ready to Comply?
Technological developments often make basic tasks easier and in revolutionary cases, it becomes possible to do things that couldn’t...
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2020 Promises to Be Challenging Year for Compliance
Financial advisors and broker-dealers will face a flurry of new compliance rules in 2020, including measures passed as part of the...
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Cognitive Bias and How to Combat It with Clients
It’s a commonplace observation among financial advisors: psychology training isn’t necessary to understand clients, but it sure...
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SECURE Act Went Live on Jan. 1 – Are You Prepared?
President Donald Trump just recently signed the Setting Every Community Up for Retirement Enhancement Act of 2019. The SECURE Act...
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Keeping the Love Alive: How Client Relationships Can Endure
We can sense it, out there in the urban and suburban jungles: the clients are restless. Ignore the early murmurings at your peril...
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SEC, FINRA Want ‘Good-Faith’ Compliance with Reg BI
Regulation Best Interest, or Reg BI for those more or less in the know, is ready to go live on 30 June. Anxiety surrounds the new...
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Advisory Expertise: Don’t Buy Email Lists – DIY Instead
We know what you think about email marketing: so retro, so ‘90s, oh-so-dead. This isn’t really so: it’s still an effective...
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Defining and Refining Your Firm’s Values for 2020
When we ask friends at other houses to describe their company’s culture, we’re often met with an uncomfortable silence. Do we mean...
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The Latest from Finra: If You Change Jobs, Can You Ask Clients to Come Along?
On June 30, 2020, the SEC’s Regulation Best Interest – already familiarly spoken of, with some foreboding, as Reg BI – will come...
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What to Expect in 2020: Three Developments Advisors Should Watch
In a sense, every new year is the same: expect the unexpected. It’s tough to plan for the unknown unknowns, but preparing to meet...
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Why Clients Leave and How You Can Keep Them
Why do clients jump ship on you? You’d think the answer was simple: you didn’t earn them money, and in the current extended bull...
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How to Break Through with Stubborn Prospects
Seasoned advisors know the game isn’t easy: signing clients takes diligence, insight, a cogent argument and a talent for...
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Marketing Matters: Don’t Get Caught in the Short-Term Trap
A firm’s marketing strategy – the successful kind, we mean – can never be haphazardly concocted. You must immerse yourself in the...
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One Step Forward, Perhaps: SEC Floats Amendments to Testimonial Rule
Until recently, the SEC has been actively enforcing the Testimonial Rule, which since 1961 has forbidden financial advisors from...
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