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Proving your value to affluent clients
In your best clients' eyes, are you a knowledgeable, informed resource? Do you know about issues that are of greatest concern to your affluent clients?
Advisers dust off ‘help wanted’ signs
A few early-bird financial advisers are starting to make plans to hire new employees.
Hong Kong regulator bans ex-CLSA banker for life
Hong Kong regulators on Monday banned a former banker at one of Asia's top stock brokerages from the territory's financial industry for life after he was jailed for insider trading.
Develop a communications plan for affluent clients
How do you deliver premium-level communications coverage to top clients when you're spread thin in terms of time and administrative help?
Steps to lure clients to your practice
Summer is usually a time when advisers kick back and relax. But with revenue down across the industry, this summer may be quite different. Indeed, many advisers are suddenly looking for ways to fill the revenue void left by the market's downturn.
Advisers are urged to pay bonuses, not increase salaries
Financial advisers tempted to reward star employees with raises should think twice and instead offer them one-time bonuses, according to practice-management experts.
What affluent clients are looking for now
Now more than ever, it's important to segment your clients and be sure you are focused on the top 20% to 30%.
Lean, mean and green: Advisers cut back on paper
Independent advisers are mulling a switch to monthly electronic statements in order to cut costs.
24% of advisers are working as part of a team this year
If statistics are any indication, advisers see strength in numbers, according to a recent survey.
Advisers struggle to maintain service amid cutbacks
Financial advisers who have cut back on the work hours of their support staff to economize are reordering their service priorities to make sure clients aren't neglected.
Creating and managing a client beneficiary update
Updated beneficiary details are so important and so often ignored that you will be providing an extremely valuable — and much appreciated — service by bringing this matter to your clients' attention.
Advisers are at a loss when dealing with clients with Alzheimer’s, survey finds
According to a survey from Fidelity Investments, a huge percentage of financial advisers — 84% — had dealt with a client who suffered from Alzheimer's disease, and 96% of those surveyed didn't feel fully prepared to assist clients suffering from the disease.
The affluent don’t want a sales pitch
The financial health of many affluent families isn't good. That is why most of these families are open to a second opinion regarding their finances.
Using client beneficiary updates to uncover new assets
The death of Michael Jackson underscores the importance of clients' having updated wills and financial plans. You can capitalize on this heightened awareness to be sure all of your clients' financial documents are updated and that their beneficiaries are correctly identified.
Using client reviews to rebuild trust
Investors are angry, scared and looking for someone to blame for the economic downturn, and unfortunately, advisers often are the scapegoats, bearing the brunt.
Raids ‘blindside’ small B-Ds as brokers go for the gold
Recent raiding at broker-dealers has sparked ugly and bitter feuds and led to significant damage awards, and financial industry attorneys and experts see more cases in the offing.
SEC’s Lori Richards to step down
Lori Richards, the SEC's first and only director of Compliance Inspections and Examinations plans to leave the SEC after more than two decades, the Securities and Exchange Commission announced today.
Create a more effective marketing program
Coming up with effective marketing initiatives in today's challenging financial environment can be difficult.
Technology helps deaf adviser expand practice
Louis Schwarz responds to his clients' concerns even though he can't hear what they are saying.
Lax compliance can be costly, warn experts
In their efforts to cut costs, advisers may be setting themselves up for some big expenses.
