Practice Management

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YOUR PRACTICE PRACTICE MANAGEMENT SEP 24, 2008
Paulson does about-face on compensation

Treasury Secretary Henry Paulson today told a House committee he was open to considering limits on executive compensation in the Bush administration’s proposed $700 billion bailout package for the nation’s financial institutions.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 22, 2008
September Week 3: Checklists for retirement assets

Checklists don’t have to be complicated, but each client must have one that’s customized just for them.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 22, 2008
How to ease in-family succession

Although family members may work with them, most financial advisers do not think of their firms as family businesses. In their minds, the businesses are theirs — even when ownership is shared with other family members.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 15, 2008
September Week 2: Committing to a review-plan calendar

Unless you position your value as a retirement rollover resource for your top clients now, you risk losing out on the significant assets these clients hold away from you.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 09, 2008
LIMRA, NAIFA launch online seminars

The National Association of Insurance and Financial Advisors today announced its partnership with LIMRA International Inc. to provide NAIFA members with free access to a monthly “Market Awareness” web seminar.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 08, 2008
September Week 1: Start your client-tiering segmentation

The key to capturing rollover from qualified savings plans is right in each adviser’s office — your own client list.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 26, 2008
Morgan Stanley poaches American Indian wealth team

Morgan Stanley Private Wealth Management has poached a team from fellow Lehman Brothers to serve high-net-worth American Indian clients.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 25, 2008
August Week 4: Communicating new service levels

Now that levels have been defined, you must communicate your new service levels to your clients.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 18, 2008
August Week 3: Serving second- and third-tier clients

Last week: We created a “platinum” service level for your top clients and now it is time to plan for your lower-tiered clients.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 11, 2008
SEC spots ethics lapses

Incomplete codes of ethics and codes of ethics that aren't followed were cited as two common problems found by Securities and Exchange Commission examiners at investment advisory firms.

YOUR PRACTICE OPINION AUG 11, 2008
Keeping an eye on cash flow

Advisers have a fiduciary responsibility to educate their clients that generating enough cash to fund lifetime goals and objectives adequately is the key to financial success

YOUR PRACTICE PRACTICE MANAGEMENT AUG 11, 2008
August Week 2: Delivering 'platinum' service

How do you structure your practice and your work flow to provide your wealthiest clients with the service they need?

YOUR PRACTICE PRACTICE MANAGEMENT AUG 11, 2008
Advisers urge clients to prepare for potential layoffs

As layoffs rise, some financial advisers are encouraging their clients to come up with contingency plans in case they lose their jobs.

YOUR PRACTICE PRACTICE MANAGEMENT AUG 04, 2008
August Week 1: Identifying 'platinum' service

The best way to begin enumerating the services you should deliver to your best clients is by asking them what they want.

YOUR PRACTICE BROKER DEALERS AUG 01, 2008
Securities America names Nagengast president

Jim Nagengast was named president of Securities America Inc., the broker-dealer unit of Securities America Financial Corp.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 28, 2008
July Week 4: Create a holiday charity event

Break the mold and create a memorable and rewarding client appreciation event that gives back to the community.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 22, 2008
SEC issues alert to aid CCOs

The SEC has released its second ComplianceAlert aimed at providing guidance to chief compliance officers.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 21, 2008
Compliance costs soar

Compliance costs rose 65%from January 2007 through March 2008 for more than 400 investment advisory firms surveyed by four organizations involved in the advisory business.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 21, 2008
July Week 3: Retirement management summit

This event positions your practice as a retirement resource for baby boomers and helps encourage referrals.

YOUR PRACTICE PRACTICE MANAGEMENT JUL 14, 2008
July Week 2: Gardening is golden

Gardening is a popular hobby among boomers and retirees, so don’t underestimate the interest from your clients.