Compliance

SEARCH BY SUBJECT AREA

Get financial adviser coach blog updates via email.
Enter your email address to follow this blog and receive notifications of new posts by email.
Join 299 other followers

sidebar_tony
The price of professionalism
 by Tony Vidler.It has been fascinating watching and following some industry debate recently regarding the outcome of a recent court case against a NZ adviser. By all accounts the adviser had largely done the job expected of him, though the office paperwork was a bit footloose some years ago.  Then upshot was that a client […]
Read more.
The myth of the Independent Research defence
by Tony Vidler. Financial advisers safely relying upon third party (independent) research to defend product recommendations is a myth.  Many currently believe that through the simple act of out-sourcing product research, and then relying upon the research houses rating of a product, is in itself a recommendation of suitability for clients. Product research houses themselves go […]
Read more.