Compliance

It has been proven repeatedly that providing a guarantee in your fees for prospective clients certainly helps them decide to engage – and it is not a difficult thing to do, even though “guarantee” is…

The first rule of business is “be profitable”, and that is a concept which appears to cause industry stakeholders some issues when it comes to judging financial advisory firms. That pisses me off to be…

Replacing insurance – or “Churning” as it is often called – is a topic guaranteed to generated heated debate within the industry. At one extreme there are advisers whose entire business seems to exist by…

How can an adviser be confident their advice is good before trouble starts? In other words, how do you audit yourself? There are 5 key things that the adviser must do – and be able…

“Is that adviser working for you?” is a question that is being constantly thrown at consumers, and there is some merit in it. Which financial adviser is going to be right: the one who charges…

Most experienced advisers have preferred solutions that they go to first. But the variety of preferred solutions from those very good advisers often concerns regulators and industry observers…and that’s usually because there is a process…

Being properly valued for your expertise and eliminating the time-wasting tyre-kickers is an ongoing problem for many financial advisers. That is even more true for those making the transition from purely commission-based remuneration to generating…

Client complaints are a fact of life. It is virtually impossible to run a service business where everyone is happy 100% of the time, as human beings are involved and they are unpredictable creatures with…