Unsolicited Third-Party Comments on Social Media Are Not Testimonials – Shouldn’t be Shared
FINRA has issued a third notice providing guidance on social media and digital communications, answering questions from broker-dealers and reps in a... Read More
Must-Read Finance Weekly Roundup
Here is a roundup of this week’s must-read news for financial advisors: Practice Management What goes up … you know the rest.... Read More
Compliance: How Attitudes & Approaches Drive Away Talent
Enforcement actions by the SEC continued at a strong pace, rising 20% in the first half of FY 2017, according to Cornerstone... Read More
Creating the Perfect Team
Creating sales teams can be highly effective in growing new business, especially when you match up advisers’ complementary sales personalities. Sales coach... Read More
Using Speeches & Missives to “Wow” Clients
Sales & Marketing At some point in their careers, advisors will probably have to speak in front of a group. How do... Read More
Regulatory & Compliance Roundup: Issues to Watch and the Emojis to Avoid
Regulatory/Compliance The DOL’s fiduciary rule will continue to grab the attention of financial advisors for the months ahead, but there are other... Read More
Financial Roundup: Aspiring Advisors, Interviews, & Understanding Retirement Outcomes
The week’s roundup of must-read news for financial advisors: Practice Management Broker-dealers are “reimagining” their business models — and not just because... Read More
Why You’re Losing Prospects & How to Win the Marketing War
Sales & Marketing A marketing war is mounting, and brand strategist Gail Graham says that to compete with big and same-sized firms,... Read More
Regulatory & Compliance Roundup: FINRA Changes & Fiduciary Rule Delays
Regulatory/Compliance The DOL has filed to delay the applicability of its fiduciary rule for 60 days — until June 9. This gives... Read More
Financial Roundup: Social Security, Breaking Away, and Cleaning Up Client Interaction
Here is this week’s roundup of must-read news for financial advisors: Practice Management Advisors need to avoid technical terms, confusing acronyms and... Read More