Compliance Is Key to Independent Success
- 45% of IFAs spend up to 10 hours a week on compliance. // Money Marketing;10/2/2003, p20
Reports that 45% independent financial advisers in Great Britain spend 10 hours a week on compliance.
- What advisers are saying: Compliance is no substitute for strategy. Wickenden, Phil // Money Marketing (Online Edition);11/1/2012, p66
The article discusses the importance of compliance for financial advisers in Great Britain. It mentions that compliance is essential particularly in the presence of business re-calibration- and de-fibrillation centered on regulatory requirements. It notes that compliance must not be replaced...
- Bonds in the pink with the calming effect of compliance. WICKENDEN, PHIL // Money Marketing;11/6/2014, Issue 1460, p46
The article focuses on the factors that affect the discretion of British financial advisers over the recommendation of onshore and offshore bonds. Topics discussed include increased attention to bonds caused by the retail distribution review and the use of unwrapped investments on platforms as...
- The Perfect Match. Bowen Jr., John J. // Financial Planning;Feb2003, Vol. 33 Issue 2, p88
Provides advice for financial planners and investment advisers in choosing an ideal client. Benefits of attracting clients with the same interest as the financial planner; Factors to consider in choosing the right client; Importance of identifying a specific niche for financial planners. ...
- A New Resolve. Richards, Dan // Financial Planning;Feb2003, Vol. 33 Issue 2, p92
Provides advice for financial planners and investment advisers on improving their business strategy. Exploration of the financial needs of their clients; Importance of developing the questioning skills of financial planners and investment advisers; Benefits of technology upgrading.
- The Buy Side. Grau, David // Financial Planning;May2003, Vol. 33 Issue 5, p91
Gives advice to financial advisers on developing their practices through smart acquisitions. Information on the case of Robby Harfst; Some basic steps of increasing the chances of acquiring the right deal; Characteristics of an investment adviser.
- Sudden Wealth. Ruth, Jim // Advisor Today;May2000, Vol. 95 Issue 5, p20
Presents a technique on how financial advisors can build credibility and illustrate familiarity to certain issues faced by clients who have acquired sudden wealth. Experience in dealing with such clients; Information on a chart titled `Issues of Sudden Wealth' that financial advisors can use...
- Use Tech To Map 2004 Sales Strategy. Lyons, Tim // National Underwriter / Life & Health Financial Services;11/24/2003, Vol. 107 Issue 47, p6
Recommends the use of technology to investment professionals in the U.S. to determine how they will manage their businesses in 2004. Technology products and platforms that can impact the business of investments professionals; Personalization of key concepts.
- The 150 best financial advisers for doctors. // Contemporary OB/GYN;9/15/2008 Special Issue, Vol. 53, p25
A list of the 150 best financial advisers for doctors in the U.S. is presented including Patricia F. Raskob of Arizona-based Raskob Kambourian Financial Advisors, Delaware-based Michael J. Sicuranza of Investment Management & Planning LLC and Austin A. Frye of Florida-based Frye Financial Center.