compliance

Helping prospects decide on the right course of action is often not quite as hard as we think, especially when it is a reasonable bet that every adviser has had clients or prospects ask at…

Great questions are integral to client engagement, but what is a really GREAT question? One of the keys to success for any professional is having strong sales skills, or to put it another way, the…

Most professional development programmes for financial advisers end up being vaguely disappointing for the participants. Often the feeling is that the training is a bit too academic or theoretical and hard to implement in one’s…

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…

That word “process” is just deadly for so many advisers today that too many won’t have bothered reading this far…but process creates profit. “Process” has become associated simply with compliance in delivering financial advice, but…

“Innovation” and “delivering financial advice” do not usually go together for the majority in the industry. The way advice is delivered by tens of thousands of professionals tends to gravitate to the same methodology. There…

As client presentations become more compliance-focused, lengthy, and technical in nature there is an corresponding increase in client dissatisfaction with financial advice. Coincidence? I think not. There has been a trend for years for financial…

“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…