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    Ethics Center

    Our exhaustive library of resources and guidelines designed to help professionals  maintain a sterling reputation founded on trust, ethics, and best practices.

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    Sales & Marketing

    Advisor Alert: RIAs Catch Break on SEC's Form ADV Requirements

    By: on August 24th, 2017 • Comments: 0

    If you’re a registered investment advisor worried about providing the new required Form ADV data, relax. You just caught a break from the Securities and Exchange Commission.

    (Read More)


    Sales & Marketing

    DOL Rule to Annuity Agents: "Defend Your Recommendations!"

    By: on July 27th, 2017 • Comments: 0

    It’s probably not hyperbole to say that the new U.S. Department of Labor fiduciary rule is completely changing the financial services sector.

    The rule, which started implementation on June 9, is altering the way many annuity salespeople do business.

    Unless your head has been in the sand, more than likely you are aware that the DOL fiduciary rule now requires all financial professionals to adhere to a fiduciary duty when servicing client's qualified retirement assets.

    (Read More)


    Sales & Marketing

    Advertising Compliance Basics: 25 Ways to Avoid Costly Slip-Ups

    By: on July 14th, 2017 • Comments: 0

    We've often said the vast majority of financial advisors are ethical and would no sooner rip off Grandma or Grandpa than lop off their own right arm. However, it’s also fair to say a much larger percentage of advisors have ethical or compliance lapses through ignorance, inattention, or just sheer sloppiness. This is especially true regarding the development and use of advertising materials.

    (Read More)


    Sales & Marketing

    When Fines Aren’t Fine, It’s Time for Compliance

    By: on July 13th, 2017 • Comments: 0

    You know the feeling. You’re driving down the road, albeit a little too fast, when the police pull you over. Because of your inattention, you receive a speeding ticket, and now must pay a fine of $250. Ouch! Although you know you messed up, you’re still not fine with writing such a large check.

    (Read More)


    Sales & Marketing

    White-Hat Financial Advisors: Time to Promote Your Ethics?

    By: on June 22nd, 2017 • Comments: 0

    The securities industry has been taking it on the chin of late. A recent Reuters investigative report charged that 48 FINRA-member firms have at least 30 percent of their brokers with black marks on their records. This represents 4,600 brokers industry wide and billions of dollars of investor funds, Reuters said.

    (Read More)


    Sales & Marketing

    Consumer Mistrust: How to Slay the Industry's Growth Killer

    By: on June 9th, 2017 • Comments: 0

    Financial advisors have a perennial trust problem. And it isn’t getting any better. According to a new survey published by wealth management firm Personal Capital, 32 percent of U.S. adults believe financial advisors are likely to take advantage of them. What’s more, 70 percent of the 2,178 American consumers surveyed said recent financial-industry news has given them second thoughts about trusting anyone with their money.

    (Read More)


    Sales & Marketing

    Listen Up: Dishonesty is for Losers!

    By: on May 30th, 2017 • Comments: 0

    A fellow who bills himself as an industry marketing expert recently sent me an email. It was a very well put together, nice-looking offer to procure more than 200 marketing ideas. To learn them all, I had to provide him with my contact information. This guy made a critical error, from my perspective. He sent three of his marketing ideas as a teaser. Two of the three advocated dishonesty to get prospects attention. They weren’t whopping lies, just a little shy of 100 percent true.

    (Read More)


    Sales & Marketing

    Rogue Advisors on Parade: Romance, Twisting, and Ponzi in the Sun

    By: on May 22nd, 2017 • Comments: 0

    Six women looking for love instead got their heartstrings entangled with a rogue Connecticut advisor.

    (Read More)


    Sales & Marketing

    Advisor Alert: Active on Social Media? FINRA Has More Guidance for You

    By: on May 22nd, 2017 • Comments: 0

    As the number of consumers using social-media networking sites continues to grow, FINRA has provided ongoing guidance for financial advisors wanting to promote their firms online without getting into trouble.

    (Read More)


    Sales & Marketing

    Advisor Alert: FINRA to Tighten the Screws on High-Risk Brokers

    By: on May 15th, 2017 • Comments: 0

    In financial services, not only does crime generally not pay, but being a serial regulatory offender often results in tougher regulatory scrutiny. That’s according to a press release from the Financial Industry Regulatory Authority (FINRA) Board of Governors.

    (Read More)


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