Be Prepared for Surviving an SEC or State Audit
- New Form ADV 2? Cortese, Rick // Financial Planning;May2008, Vol. 38 Issue 5, p24
The article presents proposed amendments by the U.S. Securities and Exchange Commission to Form ADV Part 2. Part 2A-Part2A would require advisors to present information on the firm including investment advisory services and conflicts of interest. Appendix 1 to Part2A would replace the current...
- CAN THE RETAIL INVESTOR SURVIVE THE FIDUCIARY STANDARD? WALSH, PAUL R.; JOHNS, DAVID W. // St. John's Law Review;Spring/Summer2013, Vol. 87 Issue 2/3, p437
The article focuses on the role of retail investors in the survival of the fiduciary standards. Topics discussed include role of investment advisors in providing professional investment advice to the investors, impact of fiduciary standards on the investors and rules of the U.S. Securities and...
- Building client relationships--from the ground up. // Money Management;11/27/2003, Vol. 17 Issue 44, p36
Reports on the client relationship established by financial planners in Australia. List of high profile jobs compared to financial planning; Problem experienced with a planner.
- Minding Your 'Alpha-Bets' Gresham, Stephen D. // On Wall Street;Mar2005, Vol. 15 Issue 3, p70
Presents guidelines for financial advisors on adding value to services beyond their clients' expectations. Importance of the ability of advisors to proactively provide clients with good ideas; Suggestions on the creation of critical objectives for clients; Opportunities offered by the number of...
- Smart Ways to Bring in 2nd Generation Clients. Rozen, Miriam // Financial-planning.com;11/27/2015, p4
The article presents tips from financial experts on how should financial consultants be able to forge relationship with the children of their clients for handling its inheritance and asset value.
- Getting Past the Past. Moisand, Dan // Journal of Financial Planning;Sep2010, Vol. 23 Issue 9, p30
The article looks at the criticisms of Certified Financial Planner Board of Standards in the U.S. It emphasizes that the advocacy of Financial Planning Coalition and Financial Planning Association is greatly needed by financial planning, financial planners, and planning clients. It is critical...
- Requirements and Costs Associated with the Custody Rule. Clowers, A. Nicole // GAO Reports;7/8/2013, preceding pi
The article presents a report of the U.S. Government Accountability Office (GAO) on the risk faced by investors when an adviser has custody of their assets. The report describes the requirements of and costs associated with the custody rule and the U.S. Securities and Exchange Commission's (SEC)...
- Life Stories. KASS, ELLIOT // Onwallstreet.com;Mar2014, Vol. 24 Issue 3, p48
A personal narrative is presented which explores the author's experience of how she became financial planner and putting her clients' interests first.
- Positive charge. Byrne, Tony // Money Marketing;1/10/2013, p21
The author comments on how the government's Retail Distribution Review (RDR) helps create better relationships between clients and independent financial advisers (IFA) in Great Britain.