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Summary: No matter how dire some predictions are for small financial advisory firms, clients still prefer to trust humans rather than machines or software, which is likely to keep an important role for the human advisor.
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Summary: As the year heads toward a close, chief compliance officers at many regulated financial firms are preparing to conduct their annual assessments.
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Summary: Let me walk you through three simple elements, that if you pay attention, can position you to be perceived—if not the smartest person in the room, then one of the most successful—which one can argue are almost one and the same.
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Summary: Even firms that believe they are too small to matter should think again. If a cyberattack happens at the firm's outsourced CRM partner, portfolio management vendor or custodian, and clients' personal information is compromised, where is client going to turn first to demand an explanation?
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Summary: I was facilitating an offsite with a team that was having some “blaming” challenges: things were starting to fall through the cracks and there was a lot of finger pointing and blame going on.
