Our inboxes are filled daily with communications from sponsors, solicitors, compliance officers, and regulators. Distilling and relating this information to our clients is an ongoing challenge. However, making certain that your communications, updates, and disclosures are compliant is a part of your daily ritual. All firms have their own unique policies; make sure you know and obey them. Written communications infractions are easy regulatory targets and you should be vigilant to avoid becoming one!
Identity theft is a global epidemic afflicting millions of consumers every year. But consumers aren’t the only entities at risk. So are businesses, including financial professionals of all types.
In the modern world, we know that narcissism is a common ailment. And many would argue that the financial-services business has its fair share of narcissists—advisors who are too busy contemplating their own “beauty” to care much about anyone or anything else. Not sure about that assessment? Consider some of its telltale symptoms.