Managing Risk in Your Client Relationships

Posted by Stephanie Surette

March 25, 2015 at 1:30 PM

For business owners, the ability to identify risk is critical. Some risks, like client complaints and regulatory reviews, are inherent to the financial services industry. And in some situations, such as managing risk in your client relationships, you'll find risks you can control and those, unfortunately, that you can't.

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Topics: Compliance

Don't Be a Victim: Mitigate the Risk of Fraud in Your Practice

Posted by John Clark

March 24, 2015 at 10:00 AM

As an independent financial advisor, you must run a business, oversee your clients' finances, and adhere to both regulatory and firm requirements, to name just a few responsibilities. With everything else you have to do, finding strategies to mitigate the risk of fraud in your practice may not be top of mind. But given the variety of fraudulent schemes out there, it's a critical aspect of managing your practice.

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Topics: Compliance

Considering Suitability: 3 Red Flags in Variable Annuity Transactions

Posted by Mike Carretta

March 18, 2015 at 1:30 PM

It would be an understatement to say that the variable annuity landscape has changed significantly in the past five years. We've seen cutbacks in living benefit payouts, carriers offering buybacks of existing policies, and some carriers leaving the market altogether. So, it's no surprise that we've also seen an increase in regulatory scrutiny of variable annuity sales, especially replacements.

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Topics: Compliance

10 Regulatory Exam Priorities for 2015

Posted by Rob Molinari, CRCP, AIF, RFC

March 17, 2015 at 10:00 AM

It's an annual ritual. Early in the year, FINRA and the SEC each puts out a list of regulatory exam priorities for the coming 12 months. I've compiled 10 priorities for 2015—gleaned from both organizations' lists and in no particular order—that I believe are important in addressing compliance for financial advisors.

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Topics: Compliance

Content and Inbound Marketing Techniques for Financial Advisors

Posted by Kate Flood

March 11, 2015 at 1:30 PM

If you Google "effective marketing strategies for B2C companies," you're likely to see content and inbound marketing techniques among your search results. These terms might be new to you—if so, you're not alone!

So, what exactly are these techniques, and how can you put them to use for your business?

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Topics: Marketing

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