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SEC Warns RIAs to Review Electronic Communication Policies

Added on December 2018 in Manage Your Practice
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Summary: The Securities and Exchange Commission’s exam division is warning registered investment advisors to review their electronic communication procedures, as recent exams showed advisors failed to ensure compliance with SEC rules.

The Secret to COI Referrals

Added on December 2018 in Manage Your Practice
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Summary: There are two critical components for effective COI relationships—personal connection AND structure. We often talk about getting personal with your CPA and attorney partners. In our opinion, it’s the most overlooked component of the relationship. But for today, let’s shift focus to the structural piece of this puzzle. 

Voices Prank call? Nope, it's a surprise SEC audit

Added on December 2018 in Manage Your Practice
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Summary: Getting through a crisis situation can be a real test for a new business. This past summer, we faced the biggest challenge in our four-year history: an SEC audit.

The Perils of Trying to Be Superman

Added on December 2018 in Manage Your Practice
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Summary: Let’s face it, just starting your firm took a lot of hard work and it certainly doesn’t get any easier as you’re continuing to grow it. You are responsible for everything, the decisions, the revenue, and, of course, the expenses. Basically, it’s all on your shoulders and failure is not an option. 

Tech Survey: How advisors restock toolkits amid fintech's 'Wild West'

Added on December 2018 in Manage Your Practice
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Summary: Several surprises emerged when we asked a controlled audience of hundreds of independent RIAs, planners affiliated with broker-dealers and other advisors to tell us which technologies they prefer, what will markedly alter the wealth management industry, what products they are buying and avoiding — and why.

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