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    Articles

    Sales & Marketing

    Bulletproof Practice, Part Six: Make Client Assessment a Never-Ending Story

    By: Doug Schriner on July 28th, 2016 • Comments: 0

    New-account forms are designed to capture as much information as possible at the moment a client commits to a relationship and/or transaction. One hopes this will be the only time so much personal disclosure is required. FINRA requires that this information be updated at least every few years. So we can apologize for the intrusion and blame the exercise on regulatory compliance.

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    Business Ethics

    No-Worry Selling, Part 3: Serve Yourself Best by Serving Others First

    By: Harry J. Lew, NEA Chief Content Officer on July 26th, 2016 • Comments: 0

    So what does a no-worry advisory style look like? It involves putting clients at the heart of your practice in every way. It involves a robust commitment to comprehensive fact-finding, a full embrace of the new Department of Labor fiduciary standard (when it goes live next year), and a by-the-books approach to product suitability.

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    Sales & Marketing

    Advisor Alert: Compliance Canaries Sing Investment-Advisor Warnings

    By: Harry J. Lew, NEA Chief Content Officer on July 26th, 2016 • Comments: 0

    ccording to the 2016 Investment Management Compliance Testing Survey of 730 investment-advisor firms, cybersecurity/privacy/identity theft is the top compliance issue of the year, with 88 percent of respondents ranking it number one.

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    Business Ethics

    Top Ten Most Frequent Real Estate E&O Claims, Part 5: Flooding or Leaks, Property Value

    By: Lana Schroeder, Esq. on July 26th, 2016 • Comments: 0

    This is the last installment in our series about the most common real estate E&O insurance claims.

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    Sales & Marketing

    Real Estate E&O 101: Getting Started the Right Way

    By: Arthur J. Gallagher & Co. on July 26th, 2016 • Comments: 0

    Real estate E&O Insurance 101 is designed to give you an overview of what an E&O insurance policy offers real estate agents, brokers, and owners when it comes to protecting your company and yourself against claims and lawsuits brought about by current and past transactions or clients.

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    Sales & Marketing

    No-Worry Selling, Part 2: Solicit Straight to Win Big

    By: Harry J. Lew, NEA Chief Content Officer on July 14th, 2016 • Comments: 0

    Should solicitation “tricksters” be named to the Sales Hall of Shame? Yes, because advisors who play games in order to gain appointments hurt their prospective customers, while smearing the good name of competitors who sell straight. And they’re not doing themselves any favors, either.

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    Business Ethics

    Advisor Alert: Make Caution the Watchword in Crowdfunded Investing

    By: Harry J. Lew, NEA Chief Content Officer on July 14th, 2016 • Comments: 0

    Under new rules effective May 16, 2016, the public can now invest in early-stage start-ups via online platforms that are subject to registration and disclosure requirements. For their part, consumers are limited in how much they can invest based on their income and net worth. The U.S. government permitted crowdfunded investing as part of its Jumpstart Our Business Startups (JOBS) Act and the SEC’s enabling “Regulation Crowdfunding.”

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    Sales & Marketing

    Want to Really Prevent E&O Insurance Claims? Look at Your Business from 36,000 Feet

    By: Harry J. Lew, NEA Chief Content Officer on July 6th, 2016 • Comments: 0

    As a financial advisor, you’ve probably read countless stories about how to stay out of hot water with your clients. You’ve also learned about the many ways advisors can disappoint their clients, resulting in complaints, lawsuits, and E&O insurance claims. The problem with such discussions is they deal with symptoms, not root causes. Consider this example.

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