Practice Management

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PRACTICE MANAGEMENT MAY 19, 2008
May Week 3: Identifying your top-five retirement services

To create a memorable story about your practice and retirement services you must go beyond branding.

By Bloomberg
OPINION MAY 15, 2008
Health care is part of wealth care

What would be the financial consequence if one of your clients lost his or her physical and/or mental independence?

By Lewis J. Walker
PRACTICE MANAGEMENT MAY 12, 2008
May Week 2: Your retirement branding statement

Capture the assets of retiring baby boomers by branding your practice to highlight your retirement expertise.

By Bloomberg
PRACTICE MANAGEMENT MAY 12, 2008
A duty to monitor proxy voting

Upon the conclusion of a talk about achieving fiduciary excellence that I delivered April 28 at the Mountain States Public Employee Retirement Systems Forum in Denver, and sponsored by the Investment Management Network LLC of New York, an attendee approached me and asked, “What are my obligations as an investment committee member with respect to voting proxies?”

By Bloomberg
PRACTICE MANAGEMENT APR 30, 2008
Corporations spend less on Sarbanes-Oxley

The average cost for Section 404 compliance was $1.7 million, according to a Financial Executives International survey.

By Bloomberg
PRACTICE MANAGEMENT APR 28, 2008
April Week 4: Follow-up communications plan

Position your practice at every board meeting and reinforce your board members’ willingness to continue as a resource.

By Bloomberg
PRACTICE MANAGEMENT APR 07, 2008
April Week 1: Creating a client advisory board

Deepen client relationships and outside resources through a client advisory board.

By Bloomberg
PRACTICE MANAGEMENT MAR 31, 2008
March Week 4: Rolling out the plan

It's now time to share your communications plan with your team and top clients.

By Bloomberg
RETIREMENT PLANNING MAR 31, 2008
Risk management is key to distribution planning

Financial advisers and clients can be their own worst enemies when drafting plans for retirement income, making common — but crucial — errors that can ruin distribution plans, according to an influential academic.

By Darla Mercado
PRACTICE MANAGEMENT MAR 24, 2008
It is time for the SEC to take a stand on compliance with Section 404

After months of insisting that no further delays for smaller public companies would be forthcoming, SEC Chairman Christopher Cox said in December that he would recommend still another delay in implementing Section 404(b) for companies with market caps under $75 million ("non-accelerated filers") until fiscal years ending on or after Dec. 15, 2009.

By Bloomberg
PRACTICE MANAGEMENT MAR 24, 2008
Going forward in an unsteady market

Succession planning always creates complications.

By Bloomberg
OPINION MAR 24, 2008
When physicians are your target

Despite the challenges faced by today's physicians — the soaring cost of malpractice insurance and declining insurance reimbursements are just two — doctors remain one of financial advisers' most sought-after niches

By Libby Dubick
INDEPENDENT BROKER DEALERS MAR 10, 2008
Round Table: Regulation - Round-Table discussion transcript

The following is an edited transcript of the round-table discussion.

By MFXFeeder
PRACTICE MANAGEMENT MAR 03, 2008
March Week 1: Communicating with clients

How do you become a better communicator? Learn how in the first of a four-week step-by-step program.

By Bloomberg
PRACTICE MANAGEMENT MAR 03, 2008
H&R Block loses $4 million arbitration case

Top management at H&R Block Inc., parent of H&R Block Financial Advisors Inc., allegedly turned up the heat and threatened a senior executive in the middle of an acrimonious dispute over compensation, according to an arbitration complaint that led to a $4 million award to the executive last month.

By Bloomberg
PRACTICE MANAGEMENT FEB 07, 2008
Recruiting, keeping advisers is top priority

As demand for advisers increases, firms need to project recruitment strategies out to 2012, said Rebecca Pomering of Moss Adams.

By Bloomberg
PRACTICE MANAGEMENT FEB 05, 2008
Schweiss survives Fiserv sale to TD

Skip Schweiss will stay with the legacy Fiserv Investor Support Services business after all.

By InvestmentNews
PRACTICE MANAGEMENT FEB 04, 2008
Reps question controversial 'minitenders'

By Bloomberg
FINTECH FEB 04, 2008
New tools keep up with compliance

Technology to help automate and improve the compliance function may not ring a financial adviser's cash register, but it certainly can reduce the time-consuming and potentially costly problems that compliance failures create.

By Bloomberg
PRACTICE MANAGEMENT JAN 30, 2008
Tread carefully when self-reporting

Self-reporting in areas such as the retention of e-mails “is more of an art than a science,” said the CEO of ING.

By Bloomberg