From InvestmentNews
Added on December 2017 in Form an RIA
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Summary: Three new officials — one at the Labor Department and two at the Securities and Exchange Commission — will help the agencies advance their work on investment advice standards.
From ThinkAdvisor
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Summary: No doubt within the first ten minutes of becoming a financial advisor, you received a list of taboos: those things you are never allowed to do because they are either ethically or legally forbidden. At the top of that list: using client testimonials.
From IRIS
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Summary: [Podcast] This holiday season, Matt and Kirk are offering up 12 podcasts to help you prepare your business for 2018 with your best marketing plan yet! In the preimer episode of the 12 Days of Marketing, join Matt and Kirk as they dive into developing your marketing mindset.
From InvestmentNews
Added on December 2017 in Form an RIA
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Summary: An upcoming Finra rule proposal would make it easier for brokerages to determine whether their representatives are engaging in harmful activities away from the office.
From WealthManagement
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Summary: Ask yourself how well you and your team managed relationships with clients over the past year, and whether or not you achieved your business goals.
