compliance focus

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 312 other followers

sidebar_tony
sales-marketing-for-financial-advisors
Big Ticks: The Best Stories For Professionals This Week
by Tony Vidler         Information, ideas, tips…the articles for professional advisers which I spotted this week that generate fresh thinking or a deeper understanding of issues are provided here as a quick readers digest for professionals who are looking ahead.   These are the highlights from the week that you should stop and read, as they […]
Read more.
powerful-email-marketing
The powerful marketing tool that you use every day, but hardly use for marketing. But should!
by Tony Vidler        The most powerful marketing tool most professionals have is the one they use hundreds of times each day, but which they usually do not do any marketing with.   email.   Love it or loathe it, we all use it.  It is not going away anytime soon, and it is not about […]
Read more.
best-practice-advice
Meeting Client Expectations Is In The Clients Interests Too, isn’t it?
by Tony Vidler        What constitutes “Best Practice” advice process is a constant work in progress, but it does not develop as rapidly as either technology or client expectations.  In fact, there is a distinct probability that the gap between what professionals call best practice advice and what clients expectations are will continue to widen.   […]
Read more.
advisor-risk-tolerance
What is YOUR Risk Tolerance as an Adviser?
by Tony Vidler        Asking financial advisers what THEIR risk tolerance is seems odd to many at first glance.  However, when contemplating what changes should be made in response to more regulatory reform this is the NEXT question which should be addressed after answering the “what do the new rules say I have to do?” question. […]
Read more.
financial-services-regulation
The Danger Of A Knee-Jerk Reaction To Regulatory Reform
by Tony Vidler        The hot issue for many advisers right now is what they need to do to adjust for incoming regulatory reform…again…and the focus is almost always upon the short term.  Knee-jerk reactions become the norm as advisers grapple with the burning questions, such as: What process do I have to change?   What […]
Read more.
How Much You Know Is Not That Important
by Tony Vidler        Today’s professional knows way too much to be used in any given client meeting or engagement.  One of the great skills of the super successful professionals in fact is figuring out what stuff they know which is not useful to any particular client, and then not using it.   That shouldn’t […]
Read more.
compliance-focus
Client Focus or Compliance Focus?
by Tony Vidler        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 not compromise?   I think this picture captures the challenge of delivering compliant “best […]
Read more.