In a recent SEC Risk Alert on the issue of outsourcing compliance, the SEC’s concerns centered on a third-party provider’s scope of authority, its communication with staff and whether an outside compliance provider with multiple clients had the resources to sufficiently service the firm.
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A written client service menu can have important business purposes. It can act as a discipline to guide consistent service delivery to clients. Read this post to learn how to write a personal client services menu for your practice or to justify your fees.
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Financial advisors are growing their business through social media and you can, too. Learn about setting the groundwork, a plan for execution and a plan for outreach.
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When it comes to communicating with the public on social media, it’s not just politics and religion that are best avoided. What else should you think about avoiding?
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Attempting to be the advisor to two individuals who are in the process of divorce is rife with conflicts since the spouses are now adverse parties with their own interests. Read on …
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