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Summary: A formalized onboarding process is meant to establish the details of how the advisor plans to work with the new client... That means, for instance, determining the services, beyond security selection and investment performance, that the advisor will provide for the client and their families, deciding how the advisor will be paid for their services and setting expectations for how the advisor will communicate with the client.
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Summary: Technology companies love to push how much more efficient their products can make a firm, but some independent advisors concerned with their firm’s bottom line want to be able to quantify their return on investment.
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Summary: Financial advisors are human, so they’re bound to make mistakes. But such missteps don’t have to be occasions for regret — not always. Advisors who have had to own up to and make up for errors say the experience can solidify relationships with offended clients and even make them more loyal to advisors who have had the guts to admit mistakes.
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Summary: Turns out Youtube is more than just a website for music videos and cat clips — viewers appreciate educational and informational segments, as well."Every day, people watch hundreds of millions of hours on Youtube," Sundar Pichai, chief executive of Google, said during parent company Alphabet Inc.'s most recent earnings call. "People turn to Youtube because they want to research, buy or fix a product."Advisers can take advantage of this trend by offering research-driven videos.
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Summary: The Securities and Exchange Commission’s chief of staff, Andrew “Buddy” Donohue, is challenging chief compliance officers to be “proactive” by focusing on nine priorities, and quelling CCOs’ fears that their elevated roles will expose them to “increased personal liability.”
