Practice Management

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PRACTICE MANAGEMENT JUN 08, 2009
Deliver high-impact summer events cost-effectively

Staying connected with your clients is so important and events are one easy way to do this. If planned correctly, they can become a main source for referrals to top clients’ family and friends.

By Bloomberg
PRACTICE MANAGEMENT JUN 07, 2009
New technology can't do the work for you

Finra may have given broker-dealers and registered representatives a reprieve of sorts last year as the amount in fines and enforcement actions it levied against firms plummeted.

By Marypat Ganley
RETIREMENT PLANNING JUN 07, 2009
Fear's a factor as General Motors files for bankruptcy

Financial advisers who cater to workers in the automotive industry are scrambling to prepare their clients for the onslaught of job losses that will follow General Motors Corp.'s filing for bankruptcy protection last week.

By Lisa Shidler
PRACTICE MANAGEMENT JUN 01, 2009
Deliver high-impact summer events cost-effectively

Advisers are looking for ideas about how to stay connected to clients and plan events for clients on a limited budget.

By Bloomberg
RIA NEWS MAY 31, 2009
Independent advisory firms' outreach pays off for some

Independent advisory firms have stepped up their outreach efforts, and the largest firms continue to open accounts even though their assets under management have dropped.

By Sue Asci
PRACTICE MANAGEMENT MAY 31, 2009
Hope is not a business strategy

I hope that the market goes up this year.

By M. Rush Benton
PRACTICE MANAGEMENT MAY 29, 2009
SEC sues defunct Brookstreet Securities and its former CEO

Federal regulators have sued a defunct California investment brokerage and its former CEO, accusing them of fraud in selling more than $300 million worth of risky mortgage-backed securities to unsophisticated investors.

By Associated Press
PRACTICE MANAGEMENT MAY 27, 2009
Schapiro said to backtrack on third-party compliance audits

In what may be a reprieve for advisory firms, including those under pressure from tight budgets, Securities and Exchange Commission chairman Mary Schapiro seems to have backed off from an idea that would require some advisory firms to undergo third-party compliance procedure audits.

By Bloomberg
PRACTICE MANAGEMENT MAY 24, 2009
Small advisory practices decline 20% in value

Like everything from houses to Hummers, advisory practices are now on sale, say industry leaders, who note a change in deal structures that give buyers an edge.

By Lisa Shidler
OPINION MAY 18, 2009
Summer client events that generate referrals

Summertime is coming up quickly and you know you want to hold client events, however you don't have the staff or budget available in the past. How can you create events that will impress clients and gain referrals?

By Maureen Wilke
PRACTICE MANAGEMENT MAY 17, 2009
How advisers can create a marketing plan

I recently spoke to a roomful of financial advisers who focus on active investment management.

By MFXFeeder
PRACTICE MANAGEMENT MAY 17, 2009
Welcome to the new frontier

The trust factor within the world of financial services has been nuked — “getting Madoffed” is replacing “Ponzi scheme,” clients have become numb with fear and the adviser-client relationship will never be the same.

By Matt Oechsli
RIA NEWS MAY 17, 2009
Financial advisers face a crisis of confidence

Many financial advisers are suffering a crisis of confidence that is hurting their relationships with existing clients and hampering their abilities to recruit new clients.

By Dan Jamieson
PRACTICE MANAGEMENT MAY 17, 2009
Online test reveals high levels of stress among advisers

Arlene Moore has coped with the market's ups and downs more than 20 years as an adviser, but the most recent downturn has been different.

By Lisa Shidler
PRACTICE MANAGEMENT MAY 17, 2009
Developing skills to work with clients more effectively

The following edited transcript is from &#8220;Are You an Emotionally Intelligent Adviser?&#8221; an </i>InvestmentNews<i> webcast held May 6.

By MFXFeeder
PRACTICE MANAGEMENT MAY 17, 2009
Assessing -adviser stress

By MFXFeeder
PRACTICE MANAGEMENT MAY 17, 2009
Downturn alters behavior and attitudes of advisers

Guiding investors through the financial crisis has taken a toll on financial advisers, leading some to question their abilities, rethink their investment strategies and even take up yoga.

By Jeff Benjamin
PRACTICE MANAGEMENT MAY 11, 2009
Three communication plan success stories

Client retention &#8212; especially retaining your most affluent, profitable clients &#8212; hinges on successful communication.

By Bloomberg
PRACTICE MANAGEMENT MAY 10, 2009
College for Financial Planning lowers tuition on basic course

In an effort to encourage people to continue to take its courses amid the economic downturn, the College for Financial Planning has cut the cost of one of its most popular courses by more than half.

By Lisa Shidler
PRACTICE MANAGEMENT MAY 04, 2009
Outsourcing marketing and administration

One way successful advisory teams are realigning their resources and time is to outsource key areas of their business.

By D Hampton