Practice Management

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YOUR PRACTICE PRACTICE MANAGEMENT JAN 19, 2009
January Week 3: Identifying your top five retirement services

Start by identifying your top five retirement services. These may include IRAs, Keogh plans, long term care insurance, retirement income reviews, referrals to estate planning attorneys, annuities and others.

YOUR PRACTICE PRACTICE MANAGEMENT JAN 12, 2009
January Week 2: Position your practice as a retirement resource

It’s not easy to call and meet clients in light of the markets and the negative press from the Madoff scandal. But with clients receiving their December statements, this is no time to hide.

YOUR PRACTICE PRACTICE MANAGEMENT JAN 05, 2009
January Week 1: Why focusing on retirement makes sense

What do you say to clients when their recent investment experiences have been traumatic and the outlook is uncertain, at best, and frightening at worst?

YOUR PRACTICE PRACTICE MANAGEMENT DEC 22, 2008
December Week 4: Building your activities for January

As December winds down, now is the perfect time to reflect on what you might have done differently in your practice since the financial world began unraveling earlier this year.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 21, 2008
Reviving practice valuations

Because the value of most advisory practices is tied in varying degrees to cash flow, revenue and assets advised, most firms are probably worth less today than they were at their peak a year ago.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 15, 2008
December Week 3: Identifying and integrating life goals

Your business is critical, but it’s not the entirety of your life. What’s important to you? What do you want to accomplish? Since you can’t do everything, what are things would you most like to do?

YOUR PRACTICE PRACTICE MANAGEMENT DEC 08, 2008
December Week 2: Outlining your 2009 goals

Our goals are twofold: to help you retain your top clients — who are receiving their shrunken December statements, as well as phone calls from other advisers going after disgruntled clients — and to help you outline your plan for what is likely to be a tough year.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 08, 2008
EMMA to provide one-stop shopping for bond info

The SEC has designated the Municipal Securities Rulemaking Board’s electronic municipal market access system — or EMMA — as the sole repository in which issuers must file necessary disclosures.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 03, 2008
SEC stresses importance of compliance

In an open letter released Tuesday, the SEC warned chief executives of registered financial services firms to be vigilant when it comes to keeping their compliance programs in order.

YOUR PRACTICE PRACTICE MANAGEMENT DEC 01, 2008
December Week 1: Reviewing 2008

The challenge: Creating a workable and measurable plan when you’re not sure how to start or where you’ll find the time to do the necessary work.

YOUR PRACTICE PRACTICE MANAGEMENT NOV 17, 2008
November Week 3: Art with a wine twist

This week, we’re going to find out how a Chicago-area adviser combines wine tasting with an art show held at a local gallery.

YOUR PRACTICE PRACTICE MANAGEMENT NOV 03, 2008
November Week 1: A Thanksgiving event at a local hospital

Tough times call for a new way to show client appreciation. Instead of holding an elaborate dinner this year, why not join with clients to give thanks and lend support to a worthy cause?

YOUR PRACTICE PRACTICE MANAGEMENT OCT 27, 2008
October Week 4: Scheduling crisis portfolio reviews

<b>Background: </b>Our theme in October has been communicating in this time of crisis. <a href=&#8221;http://www.investmentnews.com/apps/pbcs.dll/article?AID=/20081020/REG/810209967/1099/INDAILYOPINION&#8221;>Last week</a>, we discussed how an advisory crisis communications team can help you reach out to your best clients.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 20, 2008
October Week 3: Holding biweekly updates for top clients

In this third installment of October&#8217;s &#8220;Communicating in a time of crisis,&#8221; consider a conference call using resources provided by product companies.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 13, 2008
October Week 2: Assembling a crisis communications team

A crisis communication team is a group you can call on for valuable input on what to say to clients

YOUR PRACTICE PRACTICE MANAGEMENT OCT 12, 2008
SEC criticized for poor oversight of brokerage firms

In the wake of a negative report on the Securities and Exchange Commission's oversight of brokerage firms, the brokerage industry is bracing for tougher regulation.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 06, 2008
October Week 1: Proactively putting top clients first

One of the biggest opportunities during a market downturn like the one we&#8217;re experiencing now is having a crisis communication plan in place and executing it.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 29, 2008
September Week 4: Gaining top client referrals

Now you have uncovered assets. How do you track them?

YOUR PRACTICE PRACTICE MANAGEMENT SEP 28, 2008
Independent advisers create best practices to deal with elderly

While the Securities and Exchange Commission has compiled a set of best practices for working with aging clients, independent advisers have created small-scale solutions for their own firms.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 28, 2008
Wall St. woes don't worry smaller firms

Executives at small broker-dealers and regional investment banks see opportunity in the frenzy on Wall Street, but they worry that new regulations will be burdensome.