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Summary: The Securities and Exchange Commission exam arm announced Tuesday that deficiencies involving compliance procedures, regulatory filings, the custody rule, code of ethics, and books and records are the five that most often trip up registered investment advisers.
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Summary: I’ve participated in many IT budget processes in my career. While being an accountant helped, it doesn’t take a CPA to understand that a successful budget includes realistic thinking and business planning.
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Summary: To program clients to understand that referring others is just part of our business relationship we need to begin with the introduction of the concept that referrals are an expectation. We then need to create ongoing top-of-mind-awareness of that expectation….but we have to deserve them too.
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Summary: Social Media Marketing for business is not a nice to have anymore but a critical marketing function that when directed and managed correctly can lead to real business growth.
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Summary: Too many of us opt to rely on our own experiences and gumption rather than trying to learn from the experiences of others. Financial advisers are no different. In an age where there are numerous resources at our fingertips, there's no excuse not to take advantage.
