From Think Advisor
Added on August 2014 in Form an RIA
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Summary: Financial services firms give lip service to the importance of compliance, but the majority fails to devote adequate resources to the function, according to a new survey by Cipperman Compliance Services.The survey found that the compliance function in these firms tended to be underfunded and understaffed.
From On Wall Street
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Summary: Presentations have become increasingly important marketing tools for top advisors — but they still strike fear into the hearts of many. At my firm, CEG Worldwide, we have been using both in-person and Web-based presentations successfully for years to reach out to our ideal prospective clients, and we now coach elite advisors on how to use them as well.
From Wall Street Journal Online
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Summary: Not all of the interaction between advisers and clients is qualitative. For the many quantitative tasks that can eat up precious time, I think hiring an intern can be a great solution. Interns are especially useful for projects that are repeatable and finite. For example, this summer my firm's two interns are updating all of our investment-policy documents, a task we perform every three years.
From InvestmentNews
Added on August 2014 in Form an RIA
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Summary: You can't have a business conversation or attend an industry conference without hearing someone ask "are you in the cloud?" Indeed, servers and disk storage have been evolving frighteningly quickly over the past five years. However, like anything you do for your business, don't do it just to keep pace. Make it a determined decision that means you will either save time, money or both. And if you can add in offering new capabilities for your clients, all the better.
From InvestmentNews
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Summary: InvestmentNews surveyed 377 advisers on their experiences attracting and working with women clients. These are highlights.
