Home of the Registered Investment Advisor
By Jason Kephart
Source: Investment News
SEC Chairman Mary Schapiro is not backing down from her stance that the money market fund industry needs additional reform. “We have a legitimate concern over the risks posed by stable net asset values and it’s not hypothetical,” she said.
If you’re using a PR firm to get the word out about your practice, make sure the company knows to incorporate compliance rules into its strategy. See the RIABiz story below. Also, SEC Chairman Mary Schapiro is unwavering in her stance that the money market fund industry needs reform. Read her remarks in the Investment News article that follows.
PR Firms Must Recognize that RIAs Answer to a Higher Authority
By Les Abromovitz
Source: RIABiz
There is such a thing as bad press — a disclosure that seems ‘a bit much’ to your public relations firm may be just enough to land you in a compliance hot spot.
Schapiro Stands Defiant on Money Market Reform
By Jason Kephart
Source: Investment News
SEC Chairman Mary Schapiro is not backing down from her stance that the money market fund industry needs additional reform. “We have a legitimate concern over the risks posed by stable net asset values and it’s not hypothetical,” she said.
By Les Abromovitz
Source: RIABiz
There is such a thing as bad press — a disclosure that seems ‘a bit much’ to your public relations firm may be just enough to land you in a compliance hot spot.
By John Sullivan
Source: AdvisorOne
According to a new LIMRA survey, 49% of Americans said they weren’t contributing to any retirement plan; Americans ages 18-34 were more likely (56%) to be among those not saving.
By Mark Miller
Source: Registered Rep
If you have clients who may not be on track for retirement success but are “within striking distance,” consider the following ways to get them there, which include scrubbing the expense assumptions and tapping home equity.
by Kelly O’Mara
Source: RIABiz
When the Oklahoma City-based Burns Advisory Group merged with Dallas-based Executive Financial Group this past fall, it didn’t make sense to combine the two firms’ names into one long new name.
BY Gil Weinreich
Source: AdvisorOne
In a recent botched breakaway broker attempt, a team of Merrill Lynch advisors who left for Morgan Stanley last month were caught trying to remove boxes containing confidential customer information.
BY John Sullivan
Source: AdvisorOne
Angela Herbers delivered a presentation titled “P4—Building Great Businesses by Creating Great Employees,” based on a whitepaper of the same name, to an enthusiastic crowd at the 2012 FPA Retreat in Scottsdale, Ariz. last week. The four “Ps” are preparation, pay, perks and productivity.
Practice Management
In the area of practice management, read how an advisor incorporates videoconferencing into his practice (Financial Adviser blog) and a consultant’s outline of four ways to create great employees (AdvisorOne).
Voices: Nicholas Olesen, On Interactive Technology
By Nicholas Olesen
Source: Financial Adviser, a WSJ blog
Over the past year I have gradually incorporated videoconferencing into my practice. At first I was worried that my clients wouldn’t like this technology, but I was surprised by how receptive they were.
4 Ways to Build Better Employees—and a Better Business
BY John Sullivan
Source: AdvisorOne
Angela Herbers delivered a presentation titled “P4—Building Great Businesses by Creating Great Employees,” based on a whitepaper of the same name, to an enthusiastic crowd at the 2012 FPA Retreat in Scottsdale, Ariz. last week. The four “Ps” are preparation, pay, perks and productivity.
Breakaways and Aspiring Advisors
On the topic of breakaways, study seven protocol essentials provided by attorney Patrick Burns before making a move (AdvisorOne). And, RIAs that merge need to do some serious thinking before they create a new name for the firm (RIABiz).
7 Protocol Essentials for Breakaway Brokers
BY Gil Weinreich
Source: AdvisorOne
In a recent botched breakaway broker attempt, a team of Merrill Lynch advisors who left for Morgan Stanley last month were caught trying to remove boxes containing confidential customer information.
RIAs Are Merging, Then Making Up Names Like Exencial, Syntal, Aspiriant And Private Ocean, But Experts Question The Practice
by Kelly O’Mara
Source: RIABiz
When the Oklahoma City-based Burns Advisory Group merged with Dallas-based Executive Financial Group this past fall, it didn’t make sense to combine the two firms’ names into one long new name.
Retirement Plans
Retirement planning articles include a story on five ways to get a client on track for retirement (Registered Rep) and a study that shows the “disturbing” fact that half of Americans are not saving for retirement (AdvisorOne).
Five Ways to Change Your Clients’ Retirement Math
By Mark Miller
Source: Registered Rep
If you have clients who may not be on track for retirement success but are “within striking distance,” consider the following ways to get them there, which include scrubbing the expense assumptions and tapping home equity.
LIMRA: Half of Americans Not Saving for Retirement
By John Sullivan
Source: AdvisorOne
According to a new LIMRA survey, 49% of Americans said they weren’t contributing to any retirement plan; Americans ages 18-34 were more likely (56%) to be among those not saving.
By Nicholas Olesen
Source: Financial Adviser, a WSJ blog
Over the past year I have gradually incorporated videoconferencing into my practice. At first I was worried that my clients wouldn’t like this technology, but I was surprised by how receptive they were.
