Practice Management

Displaying 9380 results
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.

By Darla Mercado
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.

By Bloomberg
INDEPENDENT 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.

By Bloomberg
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.

By Bloomberg
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.

By Bloomberg
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.

By Bloomberg
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.

By Bloomberg
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.

By Bloomberg
PRACTICE MANAGEMENT JUL 07, 2008
July Week 1: An evening of worldly wines and fashion

How do you actually deliver powerful lifestyle events with limited time and resources?

By Bloomberg
PRACTICE MANAGEMENT JUN 23, 2008
June Week 4: Delivering an effective event and follow-up

You now have the tools to plan your lifestyle events, but have limited resources to help you execute. What do you do?

By D Hampton
PRACTICE MANAGEMENT JUN 16, 2008
June Week 3: Lifestyle event communications program

A successful program starts by listing all your communications to top clients, and entering the items on a calendar.

By Bloomberg
LIFE INSURANCE AND ANNUITIES JUN 09, 2008
Brokers, insurers juggle hot potato of VA suitability

Both brokers and insurers bear responsibility for the suitability of variable annuity sales, but at different points in the sales process, industry officials said at a conference last week.

By Bloomberg
PRACTICE MANAGEMENT JUN 09, 2008
Begin with the end in mind

Considering that the age of the typical financial adviser is between 52 and 60, it is safe to assume that a tidal wave of advisers will exit the business over the next 10 to 15 years.

By Bloomberg
LIFE INSURANCE AND ANNUITIES JUN 09, 2008
Regulation, courts still transforming insurance products

A combination of regulatory developments and court cases since 1998 has molded annuities and insurance products into what they are today — and that development continues.

By Bloomberg
PRACTICE MANAGEMENT JUN 09, 2008
Merrill taps ex-Bear clearing exec

Merrill has hired John Tyers, formerly one of the heads of Bear's defunct clearing and custody business.

By Bloomberg
INDEPENDENT BROKER DEALERS JUN 09, 2008
Indie biz model grows despite aggressive regulation

Over the past 10 years, the world of independent-contractor broker-dealers has been turned on its ear.

By Bloomberg
PRACTICE MANAGEMENT JUN 09, 2008
June Week 2: Planning lifestyle events

Now that you have identified several lifestyle event topics, it’s time to start planning for the event itself.

By Bloomberg
PRACTICE MANAGEMENT JUN 09, 2008
Internet changed financial landscape, spawned reforms

"The marketplace always drives Washington," said Duane Thompson, managing director of the Financial Planning Association's Washington office.

By Bloomberg
PRACTICE MANAGEMENT JUN 02, 2008
Study: B-Ds to double in size, but profitability's a challenge

Broker-dealers are expected to keep getting bigger, but turning that growth into profitability will remain a challenge, according to a new study.

By Bloomberg
PRACTICE MANAGEMENT MAY 29, 2008
May Week 4: Branding your practice to include retirement

Now it's time to create a communication piece that your can use as part of a program to reinforce your brand.

By Bloomberg