Compliance

It seems to me that it is worth advisers asking themselves what their risk tolerance is as business owners given all the market and regulatory changes that continue to arise. When contemplating what changes should…

I support a compliance focus 100% ….but I support a client focus 100% too. All too often it is impossible to achieve 100% for both simultaneously though. Where does a professional compromise? Or does one…

The question of whether client contact frequency makes a discernible difference to the strength of the adviser-client relationship, or enhances the perceived value of the adviser to the client, is one which is still debated…

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…