Clients will appreciate candor, but they're not always prepared to apply what they hear.
Top-producing financial advisers have never been more sought after. The steady revenue and cross-selling opportunities of wealthy clients are highly valued by banks.
The Securities and Exchange Commission will be looking at ETF sales strategies, trading practices and disclosures, as well as suitability and sales supervision of variable annuities.
A lesson in responding to a heckler while participating in an industry panel
Client retention and creating a service-based strategy for a seamless transition are paramount.
Called 1888 Management, the firm scouts for personal investments for the Kochs.
It pays to understand any governance structures already in place to ensure they meet expectations for every type of client.
Initiative will link mentors with those studying for CFP mark in an attempt to address gender gap in financial planning.
Distribution of more variable annuities in an advisory rather than commission environment could play out as a result of Labor Department regulation.
Agency brought 126 actions against more than 230 adviser or company defendants in 2015, about 15% of the total enforcement cases last year.
Mr. Thibeault pled guilty to misappropriating around $15 million from the GL Beyond Income Fund.
Rule requires transferring brokers to send an “educational communication” to clients they are trying to convince to make the move with them.
An exam can be demanding and time-consuming, but it will go smoother if you prepare for it in advance. </br><b><i>(Plus: <a href="//www.investmentnews.com/gallery/20160311/FREE/311009999/PH/sec-exam-cheat-sheet" target="_blank" rel="noopener noreferrer">10 tips to survive an SEC exam</a>)</b></i>
Key takeaway from career website Glassdoor Inc.'s latest report: The more skills a role requires, the better chance it has at commanding a higher salary.
The Financial Industry Regulatory Authority Inc. barred a Phoenix-based broker for making 12 unsuitable recommendations regarding debt instruments known as debentures.
A new working paper by business school professors at the University of Chicago and University of Minnesota also found that industry-wide 7% of financial advisers have been disciplined for misconduct.
Time for advisers to double down on their 'you' advantage to fend off the rise of low-cost, tech-driven competition.
Despite it being unlikely that two SEC nominees get confirmed anytime soon, the regulator must not hesitate in getting on with its important mission.
Marc Wyatt, head of the agency's inspections arm, says his division analyzes data from many more to decide which to target.
Advisers like David Adams, who works predominantly with musicians and entertainers, must march to a different drummer to succeed with celebrity clients.</br> <b><i>(More: <a href="//www.investmentnews.com/gallery/20160214/FREE/214009999/PH/9-tips-for-advisers-looking-to-work-with-celebrity-clients"" target=""_" rel="noopener">9 tips for working with celebrity clients</a>)</b></i>
